Financial Advisors/RIAs

At PT, our appointment setting programs deliver qualified prospects. We specialize in 401(K) and qualified plans, executive compensation planning, business succession planning, and centers of influence alliance opportunities. Additionally, if you are interested in acquiring books or businesses or adding new advisors to your company, we can help to begin those conversations with appropriate leads.

We will provide you with the opportunity to engage a consistent pipeline of meaningful opportunities. We can also help you explore new opportunities and markets that are prime for expansion.

Senior businessmen sitting at coffee shop table with laptop and laughing.

How PT Works with Financial Advisors & RIAs

Our Advisor clients seek to engage with business owners and decisions makers to discuss qualified plans, executive compensation, and business succession planning. At The PT Services Group, we utilize your specific messaging in a direct fashion to get your foot in the door and then we help you to widen the options.

We are skilled at setting appointments for advisors, whether you are affiliated with a Broker Dealer, working as an RIA, or as a Hybrid. The wisdom you bring to a conversation can help in the following ways:

Helping business owners

Helping business owners to set aside the emotional struggles they may have with one day no longer being the leader of their business and planning for its future transition.

Attract and retain employees

Business owners can be innovative in how they plan for their own retirement, as well as attracting and retaining talented employees. Whether you are discussing premium finance options with the owner or key-man coverage for employees, your experience in helping the owner make great decisions is vital.

Hands-on approach

Assisting key business decision makers and owners to take a more hands-on approach to the retirement plan offered through the company. Using SDBA options, attracting and retaining talent, staying current with regulations from Washington, D.C., and being creative with options like PEPs, helps to separate you from the crowd of advisors who simply go through the motions.

The PT Services Group is skilled at setting appointment leads for RIAs and Financial Advisors and welcomes the opportunity to discuss how we can help to grow your pipeline.

8 Questions That Lead to Sales

In our latest White Paper, “8 Questions That Lead to Sales,” The PT Services Group provides guidance on how asking questions that you help you and your prospects get to know each other better, can lead to better sales opportunities.

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Your Focus

401(K) & Qualified Plans

When it comes to selling Qualified Plans, such as 401(k)s, 403(b)s, Cash Balance plans, and many others, there are great opportunities for Benefits Advisors to assist clients in achieving goals.

Helping prospects understand how Qualified Plans can be used to:

  • recruit and retain talent,
  • help the C-suite expand retirement savings with non-traditional methods,
  • maximize participant investment options through SDBA’s
  • stay current with changing legislation coming from Washington D.C.

While making sure prospects and clients are meeting their fiduciary responsibilities and fees are minimized.

These are excellent approaches to developing new conversations in this arena and we would be happy to help create this messaging for prospects.

Executive Compensation Planning

Executive compensation is rich with prospects, as more business owners recognize the importance of planning for their present needs as well as for their future goals. As the potential returns on innovative approaches to wealth management and tax management becomes more well known, business owners are recognizing that they might be missing opportunities to maximize their gains and are open to conversations about how to realize that potential. Additionally, owners and managers are constantly seeking approaches to recruit and retain great talent in the highly competitive employment market.

When PT undertakes these conversations, we only have them with the owner of the company.  We focus the conversation around minimizing tax burdens through options such as 162 executive bonus plans, the ability to choose who participates in the plans, and other similar topics.

Business Succession Planning

According to PwC’s 2021 US Family Business Survey, only one-third or about 34% of US family businesses have a robust, documented and communicated succession plan in place. This provides a lot of opportunity for conversations with business owners who are either struggling to implement a plan or have completely ignored the subject. It’s understandable, as this is a topic that comes with a lot of emotion. Because of that we approach these conversations transparently and with a respect for the emotions involved.

We are adept at being direct and pragmatic about the emotion involved and are committed to helping connect our clients with these business owners. We provide a solid approach for advisors to begin a sales process with qualified prospects, as well as an opportunity to share how they have helped other business owners overcome the challenges of one day no longer being a part of their business.

Centers of Influence Alliances

For many years, Centers of Influence Alliances have been an ideal approach for insurance or financial services representatives seeking to develop strong partnerships that led to business growth. The relationships were largely centered around CPAs. Over time initiating conversations that lead to beneficial relationships has become more challenging.

The days of casual conversations to refer business back and forth have long since passed. We can help to present opportunities for mutual efforts by utilizing messaging around such topics as revenue sharing, CPE Credits, joint marketing efforts, and providing access to your clients for their business. These conversations create a different feel of engagement.

This can be a long, delicate process that requires finesse, consistency, and patience. Our role is to help create the introduction with the proper tone and expectations, enabling you to successfully move forward.

Recruiting and Acquisitions

In the Advising arena there are three common approaches for growing your business:

  • Acquire new clients
  • Add additional advisors, agents, and
  • Attain practices through purchases or mergers

At PT, we believe there is significant opportunity in points 2 & 3 for business growth that is considered daunting and frequently overlooked. We view this as a significant growth tactic, albeit one that can require some patience and guidance. This is a different type of conversation than those that advisors have with prospects and clients. Talking peer-to-peer is certainly a different skill set.

We can help you to initiate conversations that seek to:

  • Recruit new talent that will bring a book of business with them
  • Connect with firms that may be interested in selling their business or specific parts of their book of business either now or in the future
  • Merge with or develop a succession plan to take over a business, and
  • Develop succession plans that address “what if” scenarios including death and disability.

A key initial step is building the list of individuals/firms that you wish to engage. We have partnered with AccuPoint Solutions, to simplify this piece by identifying appropriate prospects. This partnership removes a long-standing barrier that has kept many from even considering this possibility.

We will help with teaching you how to tell your story and how to engage in the first conversation.


Ready to take the next step towards growing your business? We’d love to start a conversation with you. Reach out to John Pojeta today.

Financial Advisors Insights