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The Road to AUM: Driving Assets Under Management through Effective Marketing and Sales

The Road to AUM: Driving Assets Under Management through Effective Marketing and Sales

by Sandra Powers Murphy


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Got performance? Seeking assets to manage? Frustrated by the youthful research professionals across the table who “just don’t get it” while seeming to control billions?

Managers are often challenged by the process of asset gathering. Why doesn’t the market recognize the firm’s value? Where is the AUM? Here is a big idea—let’s ask these institutions why most managers do not have their assets and never will. These pages convey the responses of institutional investors worldwide to these questions and more so that managers can hear their feedback directly and utilize it to create a game plan designed around what matters most to asset allocators.

Managers are a passionate lot. They work hard building firms, track records, and teams. Their strategies are different. They are out in the market, spending precious time and money in the pursuit of institutional assets to manage. Their numbers are better than exponentially larger, well branded, and longer tenured investment management competitors. Managers anticipate this outperformance will make all the difference in asset gathering. However, the assets consistently go to the biggest players in the industry, largely agnostic to asset class, vehicle type, and market cycle. Occasional entrants make a big splash, while the industry remains a pyramid. Few firms make it to their desired capacity. What makes the difference in institutional investment management marketing and sales?

The Road to AUM provides investment managers and business owners, as well as marketing and sales professionals with a roadmap to institutional asset growth based on observations and comments directly from the institutions themselves. Whether a firm is launching, emerging, stuck in neutral, or moving in a new direction, an aerial view of the road ahead is paramount. This book will tell managers what the market will not. It will explain where to spend time and resources, and where to save them. The book offers a view of the forest through the trees for managers seeking a path to asset growth.

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Product Details

ISBN-13: 9780999720400
Publisher: Noble Ark Ventures
Publication date: 01/18/2018
Pages: 356
Product dimensions: 6.00(w) x 9.00(h) x 0.74(d)

About the Author

Sandra Powers Murphy is a globally recognized investment management marketing and sales consultant. After more than a decade serving in a marketing and sales capacity on behalf of State Street Global Advisors and State Street Corporation, Sandra founded ARK Global LLC. As CEO, Sandra drives product and business development initiatives on behalf of a diverse group of clients. Sandra has helped numerous managers expand their investor base, add product structures, secure strategic partnerships, define business plans, create market presence and improve their overall profitability. Sandra founded Noble Ark Ventures to serve as an educational resource to professionals regarding institutional marketing and sales best practices.
Sandra is the President of the Third Party Marketing Association as well as a member of the Women Presidents' Organization and 100 Women in Hedge Funds. Sandra is a partner of Compass Securities Corporation, member FINRA, SIPC, and a Registered Representative of ARK Global LLC, member FINRA, SIPC. Sandra holds her FINRA Series 7, 24, 50, 53, 63 and 66 investment industry licenses. In addition, she serves on the Municipal Securities Rulemaking Board Professional Qualifications Advisory Committee. Sandra lives with her husband, six children and a golden retriever near Boston, Massachusetts.

Table of Contents


Acknowledgements i

Introduction 1

Part I Out of the Weeds: A View of the Forest from Institutional Investors

Chapter 1 Methodology 11

Chapter 2 The Institutional Lens 19

Part II Stepping Back: Getting in Position to Win

Chapter 3 The Institutional Asset Gathering Marathon 29

Chapter 4 Firm First: A Pre-Launch Puzzle 37

Chapter 5 Understanding Prospects 61

Chapter 6 Redefining the Competition 69

Part III Stepping In: Driving Context and Contact

Chapter 7 The Firm’s Oeuvre: Creating the Content Library 85

Chapter 8 Core Collateral 107

Chapter 9 Tools of the Trade: Databases 117

Chapter 10 Tools of the Trade: Online Marketing 131

Chapter 11 A Successful Introduction 151

Chapter 12 Face Time: The Live Meeting 165

Chapter 13 Tech in the Room 197

Part IV Stepping Up: Staying the Course

Chapter 14 Establishing Active Voice with Commentary 207

Chapter 15 Adding Value through Ongoing Communications 219

Chapter 16 The Institutional Research and Funding Process 237

Chapter 17 Resource Management 259

Part V Stepping Out: Overdrive

Chapter 18 Games Managers Play 281

Chapter 19 Recommendations from the Road 297

Chapter 20 The Road to AUM: A Game Plan for Asset Gathering 313

About the Author 328

The Roadmap to AUM 329

Resources 339

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