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Introduction

Fully endorsed by the industry, The Winner's Circle has evolved into an organization of the securities industry's outstanding financial advisors, extending across all firms.

R.J.'s board includes industry leaders that help to establish selection criteria--both quantitative and qualitative measures--and promote The Winner's Circle philosophies.

        The Winner's Circle's Missions

In the securities industry, to promote:

  • best practices,
  • highest code of ethics, and
  • integrity, professionalism

Outside the industry, to promote:

  • the value of advice,
  • raising investor confidence, and
  • helping investors find a trusted advisor

The Winner's Circle recognizes the most outstanding financial advisors (FAs) in the business--each of whom represent the highest levels of ethical standards, professionalism and success in the business.

Promotional Activities

  • 2002 September Cover Story in Registered Rep Magazine: "America's Top Brokers"

  • 2003 September Cover Story in Research Magazine "The Winner's Circle"
  • 2004 September Cover Story in Barron's Magazine "America's Best Wealth Advisors"
             Date Article
             June '03 Consider Every Client a Chairman of the Board
             July '03 3 Views of Building a Billion-Dollar Book
             Aug. '03
             Sept. '03  
  • Philanthropic Activities
  • Positive, Controlled Publicity
  • Industry Events

Summary of Book

The Winner's Circle is a book about best practices. The Winner's Circle is informative, interesting, inspirational and full of anecdotes. The book is a model for new FAs entering the business, while existing FAs will strive to emulate the high standards and success patterns that The Winner's Circle FAs share with their readers. FAs will also glean insights into how these top achievers are positioning their businesses for the future. Based on intimate interviews of the top FAs, and brief profiles of the top 100 financial advisors, this inspiring book shares the secrets of these top performers, the pitfalls they experienced along the way, and the directions they're taking their businesses in this constantly-evolving industry.

Selection Criteria

Since the FAs in The Winner's Circle represent each firm's "cream of the crop," and may represent their respective firm accordingly in the press and otherwise, each firm participates in the selection of their FAs according to The Winner's Circle criteria. In the interests of promoting best practices within the industry and serving the investing public, Firms are encouraged to nominate Financial Advisors that have proven to best serve their clients' needs with the highest levels of integrity and client focus. Services may include; effecting disciplined asset allocation models and providing services that cater toward individuals' broad financial planning needs. Beyond each Firm's selection based on client focus, measurable assessments include the following criteria:

Qualitative Criteria

Acceptable compliance and legal records. Only FAs with the highest ethical standards and integrity are considered. Leeway for pending actions or minor disputes is given by the FA's firm. (Weighting: affirmative or denial)

Client Satisfaction. As determined by the FA's firm (with input from Management and Client-Satisfaction reports) and random client interviews. (Weighting: )

Community involvement. Based on previous Winner's Circle evaluations, it is almost a given that these top achievers are involved in their communities and the industry, most of them active role models. FAs are assigned a rating of 1-10 for community involvement. (Criterion weighting: )

Other: Professional designations, team, platform, etc.

Quantitative Criteria

Consistently high revenue numbers. Gross commission levels for non-institutional accounts over the past three years are considered, with a heavier weighting for revenue in most current calendar year. For partnerships, FAs will be considered on their percent ownership of revenue. (Criterion weighting: )

Assets under management. Assets that the FA has under management at his or her firm will be considered. (Criterion weighting: )

Outside Assets under management. Assets that the FA has under management but not custodied at his or her firm will be considered. (Criterion weighting: )

(Mathematically, each FA is indexed against the FA with the highest production and the FA with the highest asset levels; weightings are then assigned. The weighted scores for community involvement is added. These scores are then tallied for each FA, ranking him or her against his/her peers.)

This latest approach, with a more scientific process and further involvement from my panel of advisors, will help to safeguard against unintentionally limelighting a rogue FA or positioning an undeserving or unsuitable FA as a role model in the securities industry.

Distribution/Market for Books

As proven with previous Shook books, The Winner's Circle will be widely distributed in bookstores across the country and the Internet, and used as a standard guide for all new and established FAs seeking valuable insights from the best in the business. Other professionals interested in The Winner's Circle include salespeople in other fields, such as real estate and insurance, and entrepreneurs. The book appeals to the general public who may be interested in: reading about successful people; seeking to learn more about investing; looking for a new FA; comparing his or her FAs to those who set the standards. The book is certain to bring FAs in the book many benefits (FAs in previous Winner's Circle books all reported dramatic increases in production, higher retention rates and high prospect-closing ratios), and they will be hereafter recognized as one of the greatest in the business. They will also serve as excellent role models for others in the industry.

 

Ordering Instructions for The Winner's Circle IV (2005)

Retail Order Form / Institutional & Wholesale Order Form

 


Acclaim for The Winner's Circle

"The Winner's Circle serves as a reminder that there are many financial professionals out there doing great work on behalf of their clients. We are pleased to see a book that, by sharing numerous examples, promotes some of the industry's best practices."
Tom Matthews, President and CEO--Private Client Group
Smith Barney

"Our industry is lucky to have the superb professionals profiled here, and we're lucky to have R.J. Shook to chronicle their excellence. He raises the bar for all of us."
Dan Sontag, SVP, Advisory Division
Merrill Lynch

"Shook's Winner's Circle is the official gateway to the industry's most elite wealth advisors - and a roadmap to those who aspire to join its ranks." Mark Goldberg CEO Royal Alliance "An excellent resource for Wealth Advisors who want to provide the highest quality advice and service."
James W. Brinkley, Chairman
Legg Mason Wood Walker, Inc.

"Any advisor that cares about doing the best job possible for their clients should read this book."
Jim Donley, President, Private Client Group
Wachovia Securities

"A one-of-a-kind resource based on insights from America's top advisors...Shook shares these ideas and strategies in a practical, useful and enjoyable format."
Jim Putnam, Managing Director
National Sales LPL Financial Services

"The Winner's Circle gives readers an up-close look at the best practices of some of the most successful advisors in the business."
Brian Heath, General Manager
American Express Financial Advisors