Changing the Financial Advisor Brain – Creating Future Change


There is one major thing that almost all my financial advisor clients have in common. It’s not their personality – I work with all personality types. It’s not their marital status – I work with single and married clients. And it’s not their geographic location – I work with clients all over the world.

What my clients have in common is that they want to create and achieve new goals! And in order to do this, we have to talk about changing the Financial Advisor brain

Without change nothing changes

They have tried on their own, but they don’t know what they don’t know. They have tried a few ideas, but nothing has stuck. The have moved through the pre-contemplation stage of change where they were not even aware of the change that is needed. Their office may be a mess. Their schedule may be a nightmare. They may be putting out fires instead of working through a day smoothly, without stress or problems. They may be having poor results with branding or prospecting and they simply don’t know what to do.

When they contact me, they are in the contemplation stage of change where they have thought about making change. They may have heard about peers who have achieved wondrous success. Peers who have a great business with quality clients and a flow of income that gives them the freedom to do what they want. They want to know what to do next.

What is necessary before change takes place?

You’ve all heard about the PAIN versus PLEASURE dichotomy. We often don’t take the steps to make changes until we have reached a massive PAIN point where’s there’s no option but to do something about our situation. This is the point where we have the motivation to change.

Do you have the motivation to change?

Most often, the change is YOU

Changing YOU means changing behavior. What you’ve been doing hasn’t worked. Changing behavior is not easy because our tendencies are inherent, part of who we are, and they come to us naturally. Instead of trying to change existing habits, making new habits is often the best way to go (more on that later).

Why is it so difficult?

When things are the same, we are comfortable. We don’t have to get out of our comfort zone. Day to day things progress with the same speed (or lack thereof, if your needed change is organization). We don’t have to spend time learning new processes and new procedures. We don’t have to spend time on training new hires so we can delegate what we’re not good at.


Fear often gets in the way of change. We fear that we won’t be able to do things the new way or that it won’t work. We fear that change may expose our deficiencies and we may lose our status.

Why does change fail?

If we haven’t changed our behavior, or as I like to say, our BRAINS, failure can happen. If nothing changes, guess what? Nothing changes. Behavior modification is essential to the success of change and for us to achieve our goals.

Changing the financial advisor brain and making new habits

Neuroscience says that thoughts and emotions have a beneficial effect on behavior modification. If we are still stuck in our old thoughts and emotions we will not change and attract new opportunities and successes. This is why clients hire me!

How Financial Advisors Can Create a Competitive Advantage

competitive advantage

When I was studying at the University of Hawaii in the late 80’s, every single textbook about marketing contained information about “competitive advantage” and how to achieve it. Although my major was International Business, I was fascinated by the topic of marketing and it became my focus for growing my own business. Or, I should say that Branding became my passion!

Competitive Advantage and Branding

Something happened in my business that helped me create an amazing competitive advantage for my business that I continue to use when working with my financial advisor clients.

You see my business back then was selling expensive handmade 18k gold jewelry with rubies, sapphires, and emeralds to Hawaii’s Liberty House department store, a Neiman Marcus type experience.

Although my product was expensive, I still had plenty of competition in my field and I had to go up against many other jewelry sellers.

What I realized is that I had to set myself apart from the competition. I had to SHOW that my product was more beautiful than others’ in my field.

Create subconscious messages

So I hired a master brand strategist in downtown Honolulu to rebrand my business. She created a beautiful logo, business card, and brochure that was stunning and visually impressive. I hired a photographer to photograph my jewelry in close up, creative settings. The result was amazing and visually stunning. The paper my brochure was printed on was the best that could be had at this time and when holding it in your hand, you were sure to feel that much thought went into its creation.

The subconscious message I was conveying was one of exclusivity and luxury. Those who would wear my jewelry were sure to receive compliments.

So I presented my jewelry and branding materials to Liberty House and I won the business. A few months later I asked the manager a question that I already knew the answer to. I said “What was it about my jewelry that made you decide to go with me rather than the competition?”

And she said “Your jewelry was beautifully presented. Your business card and brochure were simply a visual delight. We felt that someone who pays that much attention to their branding materials, must also spend a great deal of time designing and manufacturing her wares. So we went with you.”

Financial advisors and competitive advantage

When going up against other financial firms (and you will compete against
many other firms, there’s no doubt about it), you must stand out visually. In my opinion, the design concepts used by the majority of today’s financial firms are overly bland and unexciting.

Every brand looks the same. Your ideal clients are looking for uniqueness and creativity in your brand, and oftentimes they are unaware of what they’re looking for, but they know consciously that they want an advisor who is not like everyone else.

They want to see the BENEFITS of working with you presented in a visual manner that is
different from other financial firms.

So if you’re rebranding or going independent, find someone like me to guide you through the process of captivating your ideal clients both in person and on the web using branding to give you an unfair competitive advantage!

Request a consultation!

Boost your Financial Brand by Branding Your Process, Program, or Investment Technique

Happy weekend! I hope you’ve got some fun things planned so that you can enjoy the success you’ve been building in your practice. I’m doing a quick blog post today about branding. Why do most financial advisors look the same? Same websites, same presentations, same business model, same ordinary brand. […]
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How Financial Advisors Can Be Better Public Speakers

In my work as a Business Coach for Financial Advisors I often help clients develop Prospecting Strategies that include public speaking. Of course it helps that I am also a professional paid speaker presenting topics such as leadership, prospecting, and branding. There’s nothing like experience and success when guiding my […]
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