Advisor Knowledge Center

Four Cornerstones of Distribution
Competitive Edge Marketing Resources Distribution Activity Distribution Planning

Northern Lights Distributors, LLC is focused on helping investment advisors navigate the complexities of mutual fund distribution. The Advisor Knowledge Center is our firm’s value-added offering to provide meaningful insight that may impact sales growth. It is designed to follow the Cornerstones of Distribution framework for developing distribution strategies.

DOL Readiness Guide

At the time of this writing, the compliance date for several provisions of the Department of Labor’s (“DOL”) fiduciary rule is still scheduled for April 10, 2017. Barring any delays, the day is poised to usher in many changes for the mutual fund industry. As comprehensive and engaged partners, The Gemini Companies are providing investment…

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The Impact of the DOL Ruling on Fund Distribution

Since the February 2015 White House call-to-action for the Department of Labor (DOL) to update rules protecting retirement accounts against conflicts of interest, many articles, white papers and surveys have been created to rebut, dissect and foresee the impact of the DOL’s ruling. Although, there is speculation as to the future of the DOL ruling…

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Cost of Distribution

A successful mutual fund distribution strategy requires a solid competitive philosophy, process, and expertise as well as consistent performance and excellent client service. It also requires investment managers who thoughtfully plan and invest in a scalable sales and marketing strategy. Distribution has a variety of associated costs. The amount of associated costs is dependent on…

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Best Practices Sponsoring An Advisor Conference

Marketing can be expensive and sometimes difficult to see the direct benefits, especially if there are upfront costs involved. Northern Lights Distributors, LLC (NLD), understands the potential constraints within a marketing budget and aims to assist you in getting the most from your marketing dollars. There are many marketing options to consider, spanning content creation,…

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FAQ : Marketing and Advertising Review

Whether it’s fund distribution or compliance, you need an expert to guide you through the maze and look out for your fund, your employees, and even your shareholders. As a company born and managed from investment advisor roots, we understand the challenges you face. What affects you affects us. We believe your quest to distribute…

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Responding to Due Diligence Questionnaires

Financial intermediaries conduct various levels of product due diligence to gain a better understanding of the investment firm’s Competitive Edge. Due diligence questionnaires cover two key areas; firm and product. Due diligence teams are seeking to understand the investment advisor’s philosophy, processes and operational support to best determine business viability and product continuity. The following is a general guideline, created to…

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Positioning for Growth

Northern Lights Distributors, LLC (NLD) believes successful marketing strategies require a thorough self-assessment during the distribution planning phase. During strategy planning, investment advisors should seek to understand how to access their desired target client with focus on product placement requirements and expected activity. Gaining such understanding will help determine the best course of action to…

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Uncover Your Competitive Edge

It is Northern Lights Distributors LLC (NLD)’s belief that an organization’s fundamental characteristics define the competitive advantage. The defining characteristics may be a single or a combination of culture, process and execution that magnifies an organization’s Competitive Edge versus the competition. The “Edge” is that extra component which can make an organization shine.

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Creating Brand Loyalty

We often tell our clients mutual funds are “sold and not bought.” We see evidence of this every day and are firm believers activity is a key driver for sales and distribution. However, activity is not the sole driver, marketing content plays a supporting and often a leading role in the sales process. Brand loyalty is created…

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Target Market and You

Northern Lights Distributors, LLC (NLD) believes all impactful distribution plans begin with a target market assessment, to gather information about the wants and needs of its potential clients. Market research will enable a business to learn and identify who, among its potential clients, may access their investment strategies. This learning curve will allow investment managers…

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