MAKING THE CHOICE TO OUTSOURCE. Leveraging third parties to help you stay focused on clients
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1 MAKING THE CHOICE TO OUTSOURCE Leveraging third parties to help you stay focused on clients
2 Why is TD Ameritrade Institutional making this information available to you? At TD Ameritrade Institutional we are committed to helping Advisors be successful. We continually look for ways to bring thought leadership and best practices ideas to you in order to support your business growth and success. We know how hard you work, and that sometimes it can be difficult to navigate some of the complexities in your business. Although the information included in this document isn t tailored to the circumstances of a particular Advisor, we hope you find it educational, informative, and that it will help you identify opportunities in your business. How should I use this information? TD Ameritrade intends for this information to provide a general overview about the topics covered and to help you identify opportunities in your practice and important issues you should consider in developing a marketing strategy. Because TD Ameritrade Institutional does not provide legal, tax, or compliance advice, this information is not intended to be relied upon as such. While TD Ameritrade Institutional hopes that you find this information educational and thought-provoking, you need to determine whether the information is appropriate and applicable to you and your firm. You should consult with attorneys or compliance experts that understand your particular circumstances before utilizing any of the ideas presented here in your practice. 2
3 There s a value in outsourcing. The efficiency you get from it is something you need. As an independent RIA, you probably find yourself wearing a lot of hats. One minute, you re a financial advisor. The next, an office manager who has to juggle HR, marketing, and IT roles. All of this might leave you wishing you had more time to dedicate to the most important part of your job: serving clients. Kevin T. Grimes, CFA, CFP President and Chief Investment Officer Grimes & Company Good news: There s plenty of help available. By outsourcing certain aspects of your business, you can spend more time and energy on managing your clients portfolios and making sure they get the dedication you want to provide. 3
4 The freedom to choose Being an independent RIA means you get to decide what you keep inhouse and what you outsource. Unlike large brokerage firms that deploy captive technology platforms, compliance procedures, and in-house support departments, independent RIAs are free to choose from a variety of quality providers. And, outsourced help can be temporary: You may just need someone to develop your website, assist you during a busy season, or consult on an IT issue. Don t be afraid to spend money [on outside vendors]. Whatever you spend, just measure your ROI. What are you going to get back? OUTSOURCING BY THE NUMBERS According to a study TD Ameritrade conducted in conjunction with Market Strategies International, 71% of Advisors outsource at least one function % outsource back-office functions Dean Barber, RFC, AIF CEO Barber Financial Group 58 % outsource investment/asset management functions 54 % outsource marketing and practice management functions 1 Market Strategies International,
5 An investment in expertise Don t think of outsourcing as a frivolous or unnecessary cost. It s an investment in expert resources and advice that ultimately may help you provide a better client experience. Below are a few commonly outsourced functions. TECHNOLOGY Many independent RIAs choose to outsource their technology platforms. The tools you use most frequently might integrate well with one another, or not, so you need to be selective with the exact suite of programs that work for you. We outsource quite a bit on the technology side: We ve outsourced portfolio analytics and trading, and that platform really helped us leapfrog from a service perspective. INVESTMENT MANAGEMENT Many independent RIAs choose to outsource the work of investment management to third-party asset management platforms, also known as TAMPs, which take over full discretion of investment management and sharing of fiduciary responsibility in exchange for overlay fees. 27% of Advisors said their top reason for outsourcing investment management functions was that it allowed them to focus on other tasks and save time. 1 Matthew D. Kane President and Principal Compass Ion Advisors, LLC PRACTICE MANAGEMENT Maybe you d like help in managing your firm s day-to-day operations. This could mean outsourcing HR capabilities, such as employee benefits and recruiting. Or perhaps you want to consider using a virtual assistant rather than hiring a full-time staff member. 5
6 MARKETING Some firms employ a full-time marketing employee or team, but you can also seek outside help. And, one entity doesn t have to do it all; shop around to select experts who are proficient in the exact services you re seeking. BACK-OFFICE ACTIVITIES The functions that help your company run smoothly might not need to reside on-site. You can engage third parties to manage your IT, CRM software, workflow, or other efficiency measures. Asking the right questions You ll want to spend some time figuring out what makes the most sense for you to retain in-house and what you want to explore outsourcing. A few questions to get you started: We work with a firm who oversees our marketing efforts; we have a group that has done our website and is working with us on our web presence. And, we have someone who works with us on social media and our marketing calendar. Is there an area of expertise not currently housed in my firm that my clients need? Do I have the necessary talent in-house? If so, do the people who possess it have the bandwidth? If I choose to outsource a function, how else will I use that in-house personnel? How much will it cost? Todd Resnick, CFP Co-Founder and President One Seven How will this benefit my clients? 6
7 Finding an outsourcing partner Of course, you ll want to spend time researching and selecting an appropriate vendor for the business you want to outsource. A couple of places to start: CENTERS OF INFLUENCE: Trusted industry partners and contacts who refer business to you via word of mouth may be able to offer recommendations, based on their own partnerships. AFFINITY SERVICES PROGRAM: TD Ameritrade Institutional s Affinity Services Program connects Advisors with more than 150 third-party providers who can offer expertise in a wide variety of solutions independent RIAs commonly outsource. Connect with any of these providers on your own, or talk to one of our Strategic Relationship Consultants to determine which would be the right fit for your business. Affinity Services Providers offer expertise in areas including: Growth (marketing, branding, lead generation) Wealth management (charitable giving, 401(k) administration, portfolio analysis) Efficiency (back-office support, outsourced IT, workflow integration) Client experience (segmentation, financial solutions, caregiving support) Risk management (ERISA bonds, errors and omissions, risk analytics) Human capital (mergers and acquisitions [M&A], coaching and staffing, employee benefits) You re not supposed to be an expert in everything. Outsourcing certain tasks, projects, or functions might make you a better, more well-rounded firm. Spend some time thinking about how to integrate third-party expertise and resources into your business so that you can focus on what matters most providing great service to your clients. 7
8 Access to Affinity Services Program vendors is provided solely as a service to independent Advisors using the brokerage, execution and custody services of TD Ameritrade Institutional. These services are offered at a discount directly through the participating vendors. Participating vendors are independent and are not employees or agents of TD Ameritrade. TD Ameritrade does not guarantee nor is it responsible for the quality or accuracy of any vendor s product or service. In no instance should the listing of a vendor be construed as a recommendation or endorsement by TD Ameritrade. Furthermore, TD Ameritrade does not recommend or endorse any security described by any vendor. Advisors have not received remuneration for participation in providing testimonials. Advisor testimonials may not represent the experience of all Advisors using TD Ameritrade brokerage services. The Advisors mentioned are not affiliated with TD Ameritrade Institutional. TD Ameritrade does not recommend or endorse any Advisor that utilizes its brokerage or custodial services. More information about the Advisors is available on the SEC website. TD Ameritrade and all third parties mentioned are separate and unaffiliated and are not responsible for each other s policies or services. TD Ameritrade Institutional, Division of TD Ameritrade, Inc., member FINRA/SIPC. TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company, Inc. and The Toronto-Dominion Bank TD Ameritrade.
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