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How Financial Professionals are Operating in this Era of Uncertainty

Incapital has partnered with Red Zone Marketing to conduct a series of studies to learn how financial services businesses are changing and thriving in the midst of the COVID-19 crisis. Specifically, we sought to uncover how some of the most successful financial professionals are finding new ways to change their business operations, client communications, and marketing through these uncertain times.
Based on responses from 750+ wealth managers, fiduciaries, financial planners and brokers across more than 50 broker-dealers and banks, the compiled research shows that, for example:
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Top Marketing Strategies

1) Referrals without asking
2) Asking for referrals
3) Email marketing
4) Virtual events

Top-producers surveyed are having success bringing on new clients through a wider variety of marketing strategies including social media.

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Client Anxiety

Investor anxiety level is a 6 on a scale of 1-10 with 10 being the highest anxiety, as rated by their financial professional.

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Client Risk Level

93% indicate their clients would absolutely or somewhat give up a portion of market upside for downside protection, and 97% of their clients are concerned about the impact the election will have on their investments.

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Returning to the Office

58% will be returning to a normal, in-office schedule sometime in 2020, with results varying based on geographic location.

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Return Plans

71% have a plan for returning to the office. Meanwhile, 81% of the top producers (with revenue over $800,000 in 2019) do have a written plan.

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Safety Measures in Place

76% have announced safety measures for clients or employees, including the types of safety measures that will be employed.

View Pulse Survey Resources:

PDF Report

PDF Report

detailing the results of the survey

Video Replay


outlining key findings with expert qualitative analysis and commentary

Plan Template

Plan Template

to assist in building a business continuity & safety plan

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In-Person Client Meetings

Nearly 60% will NOT primarily be meeting with clients face-to-face until 2021, and that jumps to 75% for top producers.

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Connect with Clients Virtually

Looking for fresh ideas and best practices you can immediately put into action to help you deliver a highly effective virtual event that will strengthen client relationships and drive referrals?

To access exclusive resources on
Creating Memorable Virtual Experiences
For Your Clients


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Virtual Prospecting

62% are confident that they can attract new business through virtual meetings, while 70% of top-producers surveyed feel the same.

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Upcoming Webinar:

Effective Marketing Strategies to Attract & Secure New Clients Virtually

Join this webinar for expert insights and recent cases studies on the most popular virtual marketing strategies financial professionals are using to attract new clients and close more sales.

October 28, 2020 at 4pm ET