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DECEMBER 29, 2010		NEWSLETTER SPONSORS
2010 - The Year in Review     LOOKING BACK on 2010, we have discussed some topics that have generated a lot of reader interest and feedback.  In this week's edition of the 401kExchange Newsletter, we have highlighted some of those articles to provide you with a chance to review what we kept an eye on in 2010, so as to be better prepared for the new year.  As always, any of our past articles can be accessed at our Newsletter Archive.    Selling in a Mature Market While recently visiting a small record keeping TPA, I asked about how they obtained new business, and the answer, which is typical for this type of provider, was “the fish just keep jumping in the boat”.  Essentially, advisors just keep bringing them new plans without much effort on their part.  Though they knew that this answer was fraught with issues for the future, when they might have to actually find the right fishing hole and strategy to find the fish, they do not have the resources to quantitatively improve their sales and marketing efforts. Read More   Understanding Defined Contribution Service Models Defined contribution (DC) and particularly 401(k) plan service models can seem awfully confusing but in reality they are quite simple.  Though there are many ways to design a corporate retirement plan, there are only three basic DC service models.  Advisors should leave plan design to experienced TPA’s, but they do need to understand the service models to better serve their clients and fashion the right business model for themselves. Read More   Evolution of Defined Contribution Advisors - 2010 DCP Advisor Study Not surprisingly, the level of experience for DC advisors in the financial industry has progressed dramatically with a 100% increase in years selling DC plans, as blind squirrels continue to get weeded out and barriers to entry increase. Read More   Airline Industry Offers Interesting Insights for the DC Industry With the recent announcement of the acquisition of AirTran by Southwest Airlines, it is worth reflecting on the parallels between airlines and Defined Contribution record keepers.  The similarities are striking not just for the big institutions, but also the smaller businesses that have grown up around and are supported by the two.  Perhaps lessons learned and the present state of the travel industry can give the DC industry some insights on how to portend their future and avoid the same mistakes. Read More   Understanding Defined Contribution Advisors To say that the industry’s segmentation and understanding of DC advisors is crude would be quite an understatement.  At the grossest level, the industry looks at whether advisors are commissioned or fee based and small or large market.  As the profession evolves providers need to refine their segmentation of advisors to better serve them and to grow their business, while advisors themselves need to evolve their understanding to achieve self actualization. Read More   The 401kExchange Opportunity Index Throughout the year, the 401kExchange Opportunity Index takes the collective temperature of plan sponsors with regards to their intentions for their DC plans.  Segmented by market, we analyze the plan sponsors intents to change service providers, advisors, and even their fund line-up.  Take a look at how the year started as compared to when we last looked at it at the end of November.   2010 January Opportunity Index vs. 2010 November Opportunity Index             Prospect Pipeline APPOINTMENTS Over $60 Million in 401(k) Set Appointments Available! Appointments are currently available for sale with Plan Sponsors who want to meet face to face on a specific date and time. All appointments listed in the Weekly Exchange are subject to, but not limited to assignment, rescheduling or cancellation. These appointments are listed and available on a first-come-first-serve basis. These Leads are exclusive to one advisor for one full year. For more information, contact your Account Executive at 1-877-777-401k (4015) or contact Melissa Nixon, ext. 3308 or mnixon@401kexchange.com.    Lead # Area Code State Assets Appt. Date Appt Time 1 251 AL $320,000 1/6/11 3:30pm  2 251 AL $900,000 1/13/11 9:00am  3 870 AR $600,000 1/4/11 1:30pm  4 501 AR * 1/11/11 10:30am 5 970 CO $1,200,000 1/19/11 2:00pm  6 850 FL $500,000 1/11/11 1:30pm  7 706 GA $1,000,000 1/25/11 9:00am  8 208 ID * 1/5/11 9:00am  9 208 ID $1,800,000 1/7/11 10:00am 10 208 ID $2,500,000 1/10/11 4:00pm  11 815 IL $670,000 1/12/11 11:00am 12 606 KY $1,700,000 1/3/11 3:00pm  13 318 LA * 1/12/11 9:00am  14 318 LA $2,900,000 1/19/11 10:00am 15 410 MD $600,000 1/18/11 10:00am 16 651 MN $500,000 1/14/11 3:00pm  17 704 NC * 1/12/11 10:00am 18 336 NC $450,000 1/18/11 10:00am 19 336 NC $500,000 1/18/11 10:00am 20 702 NV $600,000 1/4/11 2:00pm  21 775 NV $1,500,000 1/14/11 9:00am  22 585 NY $650,000 1/18/11 4:00pm  23 330 OH * 1/4/11 2:00pm  24 740 OH $300,000 1/12/11 10:00am 25 937 OH * 1/12/11 2:00pm  26 541 OR $2,900,000 1/7/11 9:00am  27 215 PA $376,000 1/6/11 2:00pm  28 703 VA $275,000 1/12/11 10:00am 29 757 VA $1,700,000 1/13/11 10:00am 30 757 VA $500,000 1/18/11 1:30pm  31 509 WA $5,000 1/7/11 9:00am  32 425 WA $1,000,000 1/10/11 10:00am 33 509 WA $300,000 1/14/11 1:00pm  34 425 WA $2,500,000 1/14/11 1:00pm  35 414 WI $425,000 1/10/11 10:00am 36 715 WI $1,800,000 1/12/11 10:00am 37 715 WI $779,460 1/14/11 10:00am 38 715 WI $2,500,000 1/19/11 10:00am 39 304 WV $550,000 1/27/11 10:00am * More information will be provided when you speak with a 401kExchange representative.		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