Pitfalls of the 2020 Election

Not only is the 2020 election appearing to offer a record-breaking number of candidates, it may also offer 3PM’s, asset managers and other registered persons a potential pitfall by violating SEC and/or MSRB prohibitions on political contributions.

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Donna DiMariaRegulatory
Top Low-Cost Educational Resources for Fund Marketers

When a boutique firm’s primary business is the institutional or high net-worth marketplace, some executives would rather manage portfolios than manage the product line of mutual funds. “We pay for investment research over mutual fund industry research,” said one CEO and portfolio manager of a boutique asset manager with just a handful of funds who was networking at the TDA Conference recently in San Diego.

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Donna DiMaria
Wooing RIA Gatekeepers: The “VIP Approach”

A growing number of fund companies realize that Registered Investment Adviser (RIA) firms are the future of the intermediary business. This is a challenge for fund distribution teams, since traditional product-focused email marketing campaigns and wholesaler “greet, meet and eat” strategies that work in broker/dealers don’t align with a business model where fiduciary responsibilities, rather than commissions, guide investment recommendations.

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Donna DiMaria
Asset Managers’ Advance into Digital Coming Up Short

The latest Kurtosys digital marketing survey reveals some encouraging trends as asset management firms continue their slow crawl into the digital age. The good news is an increasing number of asset managers are embracing digital technologies, including enhanced web designs, content marketing, and CRM systems. However, fewer firms are connecting the dots between technologies, which often results in a disjointed approach to marketing, sales and client servicing.

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Donna DiMaria
7 Top Mistakes Portfolio Managers Make When Talking to Gatekeepers

For asset management firms that hope to make headway with asset growth in 2019, the performance of their portfolio managers will be key. And, we’re not talking about portfolio performance, though that is always important. We’re actually talking about their performance in front of a critical audience – the gatekeepers and investment consultants behind the decision to select funds for institutional portfolios, model portfolios and select lists. In getting the attention and a favorable nod from these highly discerning investment professionals, big budgets, marketing and sales people are simply no substitute for your portfolio management team.

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Donna DiMaria
Timing is Everything

In regards to timing, it has become commonplace for managers to produce monthly performance updates on their strategies, regardless of the liquidity of the strategy and product structure in which it is sold. Quarterly is simply a long time in today’s 24/7/365 world. More detailed, qualitatively driven materials may still be produced quarterly. Regardless of which timeframe you commit to, all materials must be produced and disseminated as close to month/quarter end as is feasible.

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Sandra Powers
Respecting Market Volatility: RED LIGHT FOR MARKETING

The markets have been volatile as of late. What does this mean for ongoing marketing efforts? Institutional research professionals, particularly those closer to client contact, often indicate that managers and marketers alike needed to exhibit greater sensitivity to what their day to day struggles are. What are the Institutional research professionals you are marketing to faced with? What deadlines and priorities do they have?

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Sandra Powers