1. LIVE IN L.A. Your all access pass to complete Wealth Management The 7½ Disciplines of the Wealth Advisor How real advisors are using real tools to have real success Rick Claydon

2. Agenda Understanding the 7½ Disciplines How the Disciplines are being applied by your peers A more focused way of implementing

3. “The experience around the experience”

4. Objectives of AT360 Mastering the discovery process Delivering more effective communication Leveraging the skills and expertise of the wealth planning group and outside professionals Managing the client relationship more effectively Using workflow to increase productivity Techniques and strategies for attracting high net worth clients

5. Some of AT360 Core Beliefs The experience around the experience Take a wealth advisory approach Focus on the right brain Communicate your value

6. The 7½ Disciplines of the Wealth Advisor

7. Discipline - defined discipline dis·ci·pline [dis-uh-plin] Show IPA noun, verb, dis·ci·plined, dis·ci·plin·ing. noun activity, exercise, or a regimen that develops or improves a skill; training: A weekly stint calling or e-mailing prospective clients is an excellent discipline to help grow a wealth advisor’s business.

8. “Principles are nice – disciplines are better”

10. The 7 ½ disciplines of the wealth advisor Focus on what counts Build partnerships Stay active Be systematic Keep learning Be disciplined Communicate with clarity © 2013 afs advisory services. All rights reserved.

11. Focus on what counts Vision Decide what you want Say “No” often

12. Is your message getting through? An organized communication plan Simple, clear and concise Communicate value on a regular basis Communicate with clarity

13. Get leverage More help=more success Complimentary skills and talents Build partnerships

14. Discipline and routines – to grow business Activity, activity, activity Consistent follow-up Stay active

15. Ensures that vision is implemented Ensures consistency Increases efficiency Reduces errors Be systematic

16. “The only constant is change” Adapt to a changing profession Continual education and personal growth Make mistakes Keep learning

17. “You have two choices; the pain of discipline or the pain of disappointment” – Jim Rohn A mind set and a philosophy Be disciplined

18. So what about the ½ ?

19. Collaboration Not trying to do it all on your own Having someone to keep you accountable The ½

20. The 7 ½ disciplines of the wealth advisor Focus on what counts Build partnerships Stay active Be systematic Keep learning Be disciplined Communicate with clarity © 2013 afs advisory services. All rights reserved.

21. Research Methodology Interviewed 22 advisors – 5 questions Tell me about one of the tools or processes that you are using that you found to be most helpful? How specifically are you using it ? How have you adapted it to your business? What do you like the most about this tool or process? Anything else you want to share?

22. Stories and strategies from your peers What was their objective? The specifics and details. (what, why, when, who, where and how.) Identify the main discipline(s) being applied

23. Strategy #1 Objective –Help smaller clients with their Estate Plan

27. The Process 1.Send discovery questions in advance 2.Book a web call to educate 3.Send educational information 4.Meet to complete the Estate Planning Questionnaire 5.Review completed Estate Plan at next meeting

28. Disciplines? Build Partnerships Communicate with clarity

29. Strategy #2 Objective –Ensure clients understand the value being delivered

31. 1.Create a wealth map for top 10 clients 2.Discuss or update wealth map at each meeting. 3.If changes made send copy after meeting The Process

32. Disciplines? Communicate with clarity

33. Strategy #3 Objective – Get better at discovery

35. 1.Ask 2 open ended questions at client meetings 2.Use same 7 questions with prospects 3.Question before answer mindset The Process

36. Disciplines? Communicate with clarity

37. Strategy #4 Objective – A more consistent client experience

41. 1.Define and document orientation process for all new clients 2.Send pre-meeting email to client (As and Bs) 3.Always use an Agenda 4.Send meeting follow-up email The Process

42. Disciplines? Be systematic Be disciplined

43. Strategy #5 Objective – Standardize the first meeting experience for a new prospect

46. 1.Create a first meeting template (6-8 slides) 2.Use same Agenda 3.Ask questions first – then present 4.Send meeting follow-up email The Process

47. Disciplines? Communicate with clarity Be Systematic

48. Strategy #6 Objective – Leverage time for greater success

50. 1.Prepare First Meeting Presentation 2.Meet client and present managed solution 3.If necessary send proposal 4.Meet to do paperwork The Process

51. Disciplines? Build Partnerships Communicate with Clarity

52. Strategy #7 Objective – Create a more organized and structured approach for implementing new ideas

54. 1.Meet Mondays at 3:00 with assistant (1 hr) 2.Assistant works on tasks 3.Fridays at 1:00 block 2 hours 4.Regular reminder about the disciplines The Process

55. Disciplines? Build partnerships (with assistant) Focus on what counts Be disciplined

56. Most commonly used tools Wealth Map Financial Dashboard Meeting Agendas Meeting Summaries Step-by-step processes

57. The Challenge All the tools are available BUT: “My day is packed and I am not organized enough to pull the correct tools” The AT360 tools are good BUT: “I don’t know where to start” There is a lot of noise coming at me from a number of different sources BUT: “What I really need is collaborative wisdom”

59. Create your Roadmap “People often ask for a map, but maps are no good if you haven’t decided to go somewhere new.” - Seth Godin

60. Steps to successful implementation – what is working for your peers? What’s your why? Have you set specific goals? Blocked off time in calendar? (weekly) Have you partnered with someone? Have you communicated with and involved your team?

63. Why now? 31-103 More competition Landscape is changing Survival of the fittest

64. Your 20 mile march

65. “ The secret of getting ahead, is getting started.” Agatha Christie – best selling novelist of all time

66. Questions

67. Thank you For advisor use only Assante Wealth Management’s advisory services are offered through Assante Financial Management Ltd., Assante Capital Management Ltd. and Assante Estate and Insurance Services Inc. Assante Estate and Insurance Services Inc. is owned by Assante Financial Management Ltd. and Assante Wealth Management (Canada) Ltd. ®The Assante symbol and Assante Wealth Management are registered trademarks of CI Investments Inc., used under licence.