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Ineffective Habits of Financial Advisors (and the Disciplines to Break Them): A Framework for Avoiding the Mistakes Everyone Else Makes Hardcover – November 9, 2010


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Product Details

  • Hardcover: 256 pages
  • Publisher: Wiley; 1 edition (November 9, 2010)
  • Language: English
  • ISBN-10: 0470910321
  • ISBN-13: 978-0470910320
  • Product Dimensions: 9.2 x 6.4 x 0.9 inches
  • Shipping Weight: 2.2 pounds (View shipping rates and policies)
  • Average Customer Review: 4.2 out of 5 stars  See all reviews (20 customer reviews)
  • Amazon Best Sellers Rank: #214,038 in Books (See Top 100 in Books)

Editorial Reviews

From the Inside Flap

Many of the seemingly harmless business habits that allow financial advisors to acquire enough clients to survive are, in reality, highly destructive to building a successful and satisfying business. Author, consultant, mentor, and former NFL coach Steve Moore knows why. In the past fifteen years, he's worked with more than 750 financial advisors, and, in the process, discovered the habits that most financial advisors make every day that ensure they remain average.

Ineffective Habits of Financial Advisors (and the Disciplines to Break Them): A Framework for Avoiding the Mistakes Everyone Else Makes tells the story of Jack, a fictional financial advisor with ineffective habits that are all too true in the real world. The habits include:

  • Living someone else's dream instead of your ownFocusing on quantity rather than onquality of clients
  • Hoarding unprofitable clients instead ofdisengaging them
  • Providing only investment advice rather than wealth management advice
  • Delivering investment reviews instead ofwealth management reviews
  • Taking the rainmaker rather than ateam approach
  • Selling to prospects instead of through clients

For examples of the transformative power of Steve's "Insight, Decision, Action" guidance for avoidingcommon pitfalls of advisors, one need only look at a few of Moore's clients: two went from having over 1,300 clients to less than 100, yet tripled their revenue; in just two short years, another firm transformed itself so completely that it now consistently ranks first or second in the PriceMetrix Merit (PriMe) award; a Chicago firm went from managing $17 million to over $170 million in just seven years; and, in a single decade, an already successful RegisteredInvestment Advisor in Long Beach took $240 million in assets under management to over $1.4 billion.

If you're looking for more rewarding business results, better work-life balance, and a greater opportunity for personal growth through meaningful work, and you're willing to embrace new ways of doing business, Ineffective Habits of Financial Advisors (and the Disciplines to Break Them): A Framework for Avoiding the Mistakes Everyone Else Makes can show you how to build excellence into every client interaction, generate higher revenue per client, and transform an average career into an elite one.

From the Back Cover

Praise for Ineffective Habits of Financial Advisors (and the Disciplines to Break Them): A Framework for Avoiding the Mistakes Everyone Else Makes

"When Steve Moore talks about exceptional client experiences, his passion and purpose are inspiring. This engaging book provides a comprehensive playbook for a process that consistently delivers measurable results. Whether you're starting in the investment business or trying to take your practice to the next level, you have to read this book."
Cliff Russell, Vice President, Investment Advisor, TD Waterhouse Private Client Services, Saskatoon, Saskatchewan, Canada

"I was angry with Steve the first day I met him because he made me confront the way I'd been doing things for fifteen years. Six years later, I can say it was exactly what I needed. Steve's insight and guidance have transformed the lives of my clients, family, and team. I will be forever grateful to Steve and the insight he offers in this transformational book."
Keith P. Spengel, CLU, CLTC, Wealth Management Advisor, Spengel Financial,Chicago, Illinois, USA

"My company, The Savant Group, reached the billion dollar milestone on 9/30/2007, thanks in part to the tough advice Steve Moore provided us over the years. There are no excuses with Steve. He tells it like it is and, if you do what he says, amazingly the results come. Change is difficult for everyone, but based on Steve's commonsense approach, we found it necessary to get out of our 'comfort zone' and do the things he recommended. You should follow his advice; I pity you if you don't."
Tom Burkhart, founder and CEO, The Savant Group, San Francisco, California, USA

"Working with Steve Moore over the last decade has created a fundamental shift, and improvement, in the way we do business. This book distills the wisdom Steve has gained from football, some 750+ consulting clients, and life into actionable steps that will improve your results—however you choose to define those results. Steve's clients get results. If you cannot hire him, read this book, follow its guidance, and you will achieve more—of whatever it is you want—than if you go it alone. To me, most business books have one or two good ideas stretched into book length. There is no wasted space here; the reader simply must respond to every idea, practice, and concept. If you disagree with what Steve says, you'd better be thinking deeply of the reasons why you don't want to follow his precepts."
Russell T. Hill, President/CEO , Halbert Hargrove, Fiduciary Investment Management, Long Beach, California, USA


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Customer Reviews

If I can recommend only one book to read for financial advisors it would definitely be this book.
Mazahreh
Steve Moore captures the essence of what it takes to build a saleable, sustainable and very profitable Wealth Management Business in this book.
R. Jasper
A book that clearly articulates the current issues facing Advisors and the concise steps to follow to deal with these challenges.
Jason W. Darling

Most Helpful Customer Reviews

13 of 13 people found the following review helpful By PJ Rekstad on November 27, 2010
Format: Hardcover Verified Purchase
In 2001, my six year old practice was humming along. I thought I was near breaking through to a better time when I would be a step ahead instead of three steps behind every day. I thought I just needed to pack a few more clients into the practice, and work a little harder, while the market climbed another thousand points. Then I would be living the dream.

At this point, I sat for 90 minutes in a conference session where Steve Moore unpacked the INeffective Habits of Financial Advisors. He held up a mirror where I saw myself. I suddenly understood why another year of the same was not going to bring the practice under control. He showed me how my INeffective Habits would yield INeffective results with a practice that would never find equilibrium.

Under Steve Moore's teaching, I have moved the practice focus from Quantity of Clients (nearly 400) to Quality of Relationships (roughly 100). We have improved our Wealth Management Services to clients while improving business fundamentals such as revenue and profitability per client.

If you are currently wrestling with a practice that, from the outside, looks successful ("the company's dream"), but from the inside seems too chaotic, you must read this book. The welfare of your clients, your team, and yourself will best be served by looking in the mirror and changing the INeffective Habits that all too common in investment advice practices. As a former NFL Coach, Steve will coach you through the drills that yield the results you want for the rest of your career.
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7 of 7 people found the following review helpful By Mazahreh on November 15, 2011
Format: Hardcover Verified Purchase
If I can recommend only one book to read for financial advisors it would definitely be this book. The book specifically lists STEP BY STEP what you should do for you, your clients, and your clients' reviews. GET THIS BOOK NOW, I have read so many great sales books, and this definitely comes at the top when talking about wealth management. Nothing comes close in adding value. In addition to this book, get Russ Alan's High Net Worth Psychology, these two go hand by hand as a great combination.
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7 of 8 people found the following review helpful By Tom Fryer on January 15, 2011
Format: Hardcover
Steve's book is really all about helping people . Helping Advisors to become more effective so that they are happier and more productive and in turn do a better job for their clients ! That's what it's all about . The "Coach" has put together a practical and common sense approach for Advisors to take to improve the profitability of their practices and to improve their own satisfaction . The "Advise Business" is all about helping people achieve their dreams . This book supports that noble objective and should be read by all advisors who are interested in improvement .
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2 of 2 people found the following review helpful By Kasey E. Buckner on December 21, 2012
Format: Hardcover Verified Purchase
Nothing in here that your common sense hasn't already told you. And the coaching analogies don't really work in my opinion. If you desire to be an honest, trust-worthy, competent advisor, you already have the tools and mental abilities to take you beyond this book.
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2 of 2 people found the following review helpful By Edward J. Barton TOP 1000 REVIEWERVINE VOICE on September 3, 2012
Format: Hardcover Verified Purchase
Steve Moore discusses the importance of focus and direction in your financial advisory practice in this book written for advisors. The ineffective habits discussed by Moore are fundamental for any professional services practice -

* Focus on quantity instead of quality of clients
* Not focusing on team service - making it all about "me"
* Not disengaging problem or unprofitable clients
* Focusing on prospecting rather than referral based business
* Working for the "firm" and not following your needs and desires

Moore then provides a series of approaches, habits and checklists to help transform or break these bad habits and develop winning ones. The book is easy to read, and full of stories and anecdotes that bring home the author's points effectively.

There are other books out there on the subject, and some are a bit better in my opinion, such as the "Million Dollar" series. However, you will not go wrong by buying and reading this book. There is a lot to glean here - including techniques that apply to all professional services, not just wealth advising.
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2 of 2 people found the following review helpful By Tammy Charbonneau on November 21, 2010
Format: Hardcover
Having had the privelege of participating in one of Steve Moore's High Speed Strategic Planning programs I can personally attest to the positive results that Steve's wisdom, guidance, and coaching provides. Ineffective Habits of Financial Advisors is "The Playbook" for success in the Investment Advisory industry. This book is well written and thoroughly researched. Steve's knowledge, experience, and insight from coaching 100's of Financial Advisors shows clearly in this well organized book. (The chapter summaries identifying "key points" are extremely helpful in reviewing the material.) This is the best book I have ever read about how to grow and maintain a thriving practice in the financial services industry. I strongly recommend this book to all financial advisors wishing to improve themselves in their profession.
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2 of 2 people found the following review helpful By R. Jasper on November 20, 2010
Format: Hardcover
Steve Moore captures the essence of what it takes to build a saleable, sustainable and very profitable Wealth Management Business in this book. You'll find some of the best practices which you can easily apply to your business of Managing Wealth for your clients if you'll read and apply the principles in this book.
I've seen firsthand what happens when Advisors get serious about the Business of running their practices. This book should become your playbook for running your business. Rich Jasper
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