RESEARCH PROSPECT TO DETERMINE WAYS TO BEST
POSITION MARINER WEALTH ADVISORS

Background Information

• For RPP prospects from Fidelity, utilize Fidelity’s Referral Edge to get biographical information on prospect
• Share the name of the prospect with others to see if anyone at Mariner Wealth Advisors knows the person and can share insights
• LinkedIn and Google can also be good sources to find out information on a prospect

One of the most important pieces of information you can obtain through this research is the profession of the prospective client. We have new Business Development resources tailored for the following niches of clients:

• Business Owners
• Corporate Executives
• Physicians
• Retirees

Prospective Client Dossier

Put together a 1-2 page “dossier” or synopsis of biographical information about the prospect, which typically includes a photo, professional info, age, info about assets, family, lifestyle, etc.

• If the prospective client is a business owner, look for information about the company’s retirement plan: freeerisa.com
  • Can then check with MRA to see if there are gaps in current plan with regarding to investment options, fiduciary responsibilities or fees.
• Check to see if we can find a private family foundation for the prospect: Guidestar
  • If so, there is great information available pertaining to causes & organizations the client is supporting, investment allocation of charitable money, fees and board members of foundation.
• If a senior executive with a publicly-traded firm, look for information available from SEC filings regarding stock options, restricted stock, deferred compensation, salary, etc. EDGAR Company Search