Let’s face it: being a successful independent financial professional requires more than planning and investment expertise. In today’s competitive environment, you need a way to stand out and engage with prospects and clients. 

You need a strategic advantage, a secret weapon to help you streamline your marketing so your messages reach the right target audiences.  

Enter the powerhouse partner, the Office of Supervisory Jurisdiction (OSJ). For many independent financial advisors, OSJs have become the missing puzzle piece for improving their marketing results.  

As an independent financial professional, you undoubtedly wear a lot of hats. There are probably too many hats until you simply run out of time. It’s not uncommon for marketing to be one of the last priorities on your to-do list after serving your current clients. However, inconsistent marketing can hurt your business’s short- and long-term growth.  Partnering with the right OSJ can be a game-changer for your marketing practices and results.  

In this blog article, we’ll look at three case studies of independent financial professionals who transformed their marketing efforts thanks, in large part, to partnering with an OSJ like ours. 

Story 1: From Solopreneur to Scalable Success

Meet Sarah, an experienced, independent financial professional with a loyal clientele who felt frustrated about her ability to grow her firm. The more successful she was, the less time she had.

She wanted to focus on marketing but didn’t have time to do what it took. She also felt the impact of compliance was a never-ending burden that took away from the time she committed to serving her current clients. Plus, she needed a way to scale her practice without taking on a lot of expensive overhead.  

Enter her solution, an OSJ partner named Evolution Financial Advisors

Sarah now had a dedicated team of marketing and operations professionals assisting her in crafting and reviewing her targeted marketing campaigns. This helped to free her up to focus on what she does best: producing plans, managing client assets, and adding new relationships. 

Thanks to Evolution’s back office compliance team, Sarah had the breathing room she needed to tackle new marketing initiatives and sleep better at night, knowing this weight had been taken off her shoulders. 

With several newfound operating efficiencies in place, Sarah grew her client base significantly over the next 18 months, finally realizing the rate of growth she had been seeking for the past three years. 

Story 2: From Frustrated to Fulfilled

David, who recently broke away from a wirehouse, felt bogged down by handling all the administrative tasks alone. His days were anything but fulfilling between generating reports, managing technology, producing plans, and investing assets, not to mention chasing down all of the paperwork. Doing any marketing was a mere afterthought with very little chance of becoming a reality, at least in the next several months.  

Given the stress of running a start-up and transitioning clients, he concluded he needed a partner to help take some of the heavy lifting off his plate. He decided to partner with Evolution Financial Advisors, which was a game-changer for his business and personal life. 

David sorted out his technology needs and got the much-needed training to use the tech platform more efficiently. He was also able to begin using a more automated reporting tool, and a dedicated support team at Evolution was able to take on many more administrative duties that eventually freed David up. David’s business was ready to soar to new heights.

This newfound freedom allowed David to focus on building his client base while deepening his connections with centers of Influence and improving his client satisfaction. He even had time to pursue his passion project, a financial literacy program for young adults, thanks to the boost provided by his highly productive OSJ.

Story 3: From Local Star to Regional Recognition

Jessica, a respected advisor in her community, dreamt of expanding her reach to a broader audience throughout New York. Still, she didn’t have the resources or marketing know-how to develop a strategy that had a high probability of being successful.  

When she discussed the strategy with her OSJ, Evolution Financial Advisors, they provided several ideas and prioritized some activities to help her get started correctly.  

Using cutting-edge technology and data-driven insights, they developed a targeted list of individuals who would benefit from Jessica’s services. This allowed Jessica to target critical demographics that enabled her to emphasize specific individuals and businesses using a more personalized marketing strategy. 

Then, she crafted a personal outreach plan that Evolution reviewed with her to ensure it was appropriate, spoke to the right target audience, and was compliance-approved.  

The OSJ’s compliance expertise allowed Jessica to confidently serve clients across state lines while their marketing team crafted targeted campaigns that attracted clients from neighboring regions. 

How Evolution Financial Advisors Can Help Take Your Practice to the Next Level

Our core mission at Evolution Financial Advisors is to boost how independent financial professionals run their practices. 

As a Large Enterprise/OSJ that provides a wide range of back-office services to independent financial advisors throughout New York State and other regions in the U.S., our leadership is actively involved in the decision-making by various influential councils at Osaic. These councils play a significant role in shaping Evolution’s business strategies, policies, and services.

We’ve built the foundation of our OSJ on five critical pillars: 

  • Independence
  • Staying focused
  • Delivering outstanding service
  • Fostering a sense of community
  • Adhering to the highest standards in our practices.

These pillars haven’t just shaped us; they’re the essence of our business practices, steering us as we assist you in reaching your goals for your practice. Our commitment is valued by independent financial advisors who rely on our support to help them build and manage their practices.

We provide OSJ services to independent financial professionals nationwide in Western New York and nationwide. 

Are you curious about how our OSJ marketing services can help you grow? Let’s start an introductory conversation.

Large Enterprise/OSJ
Chris Virgil

More about the author: Chris Virgil

Chris is the assistant vice president at Evolution Financial Advisors. He works to help advisors grow their businesses and gain a sense of freedom. Chris is a business and behavioral coach working with existing EFA financial professionals to create a more fulfilling practice, streamline operations, and enhance client experience.