Dubick & Associates, Ltd.
Marketing Consultants
Studies &


In 2014 the Options Industry Council retained Dubick & Associates to manage its second national benchmarking survey of advisors' use of options. The study found that 61% of advisors had used options in client portfolios in the past 12 months, an increase of 13% since 2011.  The survey also found that advisors who used options continued to have larger, more successful practices than those who did not. Our firm created this brochure to announce the findings.

One of the primary reasons advisors do not use options is concern that their clients consider options too risky. To explore investors' attitudes toward options, and see if educational information could alter their opinions, Dubick & Associates conducted qualitative research with high net worth investors. We uncovered some of the misconceptions investors have about options and developed strategies and language advisors could use to help overcome them, detailed in this report.

In 2013 Nuveen Investment commissioned Dubick and Associates to conduct this survey of advisors use of closed end funds (CEFs). The study explored how and why advisors use CEFs, and compared the practices of advisors who use CEFs with those who do not.  The study found that lack of product knowledge was the greatest barrier to CEF usage. The brochure includes the results of the survey and information on how advisors can use CEFs to build their practices.

Value Add Programs

Referrals are the lifeblood of the financial advisory business. Raising Your Referral I.Q., a value add program designed by us for Calvert Funds, helps advisors generate more and better referrals by providing them with a profiling tool that offers insights into their clients’ personalities. Recognizing that different personality types react differently to referral requests, the program teaches advisors a new way to think about and ask for referrals.


Financial advisors recognize the importance of millennials—in a few years they will represent half of the workforce in the U.S.—but knowing how to market to them is a different story. This whitepaper examines how millennials are like other generations, how they are different, and how they will change the advisory business. It also explores how advisors can retain their client’s children and find new generations of wealth.

The national benchmarking study above ("Options and the Financial Advisor") found that many advisors wanted to integrate options into their practices but did not know how. Dubick & Associates created a roadmap for them by developing a “best practices” whitepaper on options use. Advisors who successfully used options were interviewed to learn how they introduced and managed options with clients.

Prudential Financial wanted to introduce their unified managed account platform to bank trust departments which often have to cope with legacy systems that silo accounts. Dubick & Associates developed a whitepaper that traced the development of wealth management investment platforms and examined how overlay technology can help banks deliver a compelling and competitive investment proposition.



Investment News: How to Give Your Clients a Five Star Experience

Attention to detail and the customer experience lead to client loyalty.

HedgeNY Quarterly: How Hedge Funds Can Market to Advisors

Understanding the needs of financial advisors for marketing purposes begins with learning what is important to them.

Investment News: You Can Use Restauranteur's Secret Sauce

Combining excellent service with caring hospitality can lead to more-satisfied clients and employees.

Investment News: Be a Leader in an Age of Equals

Dialogue through social media can't take the place of positioning yourself as an expert.

Investment News: Thinking of Your Clients as Partners

As investment advice becomes less of a one-way street, advisors must be more collaborative. 

Investment News: Lemonade from Legislative Lemons

New 'plain language' rules for Form ADV give advisors a chance to stand out.

Investment News: Client trust: It is yours to lose

An effective way for advisors to maintain trust with clients is to establish and articulate service standards.

Investment News: Taking Tips from Madison Avenue                                                                                

Advisors who want to expand client rosters can learn from the tactics of consumer goods companies.

Investment News: An opening is a grand opportunity                                                                                                                     
A new beginning is an excellent marketing opportunity for advisors if they are ready to make the most of it. 

Investment News: Questions to consider before changing firms

Before changing firms, advisors need to consider who they will target, who will come along, and who will provide support.

Investment News: How prospects really size you up                                                                                                                           
Most advisors assume that prospects follow a "buying funnel", but research indicates perceptions of risk and reward are key influencers.

Investment News: What do you want them to say about you?      

To create an effective brand strategy, advisors need to decide what’s important to clients and make it their primary goal.

Wealth Management Exchange: Collaring Stock Positions Can Reduce Risk 
Collars are an excellent way to reduce risk when company stock or stock options create concentrated positions in client’s portfolios.