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“So You Want To Attract More 401k Rollovers”

Financial Advisor Marketing strategies no one is telling you about.

By Scott Brooks, MBA, CFP®, Director of Rollover Coach

What have you done to capitalize on the avalanche of layoffs occuring in your town RIGHT NOW?


What if I told you there was a way you could market to job changers and retirees in your area? How much revenue would that bring in to your practice?


If you could read just one article about how to turn your practice into an unstoppable rollover machine, this is it. I dare you to read this entire article and not change the way you approach 401k rollovers with future clients.



“There are two ways of learning, your own experiences and the experiences of others. Scott reveals his knowledge he acquired from being on all sides of the rollover transaction in this excellent material. If you’re in the financial services industry this is a must have. I just rolled over a 350k Franklin Templeton 401k and am now battling a no-load record keeper over a 600k 401k. Both are the result of the Rollover Coach program. I have already received a 1248% return on my investment in the program”

- Jesse Black, SMS Independent Advisor

If you could pick only one niche to master, the one with arguably the most potential to bring in new assets for advisors, then I would tell you without a doubt it’s the 401k rollover market. That’s because the baby boomers  in your backyard only retire once, and it’s much easier for you to acquire rollovers dollars before they are moved to an IRA account somewhere. Trillions of dollars are literally up for grabs.

Suppose you could pick the brain of someone who had worked inside Fidelity or Vanguard’s Rollover division and touched over a billion dollars in 401k rollovers. (They do control 85+% of the 401k plans for large companies). Better yet, this person also has worked as an advisor outside so he knows exactly what financial advisors deal with day in and day out.


Listen closely. You could meet with 1000 wholesalers, sales managers, and other veterans – but all the product knowledge in the world is not going to do any good if you don’t know the inside secrets as to how the 401k rollover game is being played. You see the no-load mutual fund families control 80+% of the 401k market for Fortune 1000 employers and don’t want to share a single penny.


As an advisor myself, I fully realize that information is only half the battle. The other half is being able to create leads and get in front of new prospects.  Keep reading and I will explain how you can add local rollover leads into your bag of tricks.


This is why I created a special lead program that advisors can use to attract new clients.   In the next five minutes, I’ll show you exactly what you need to know to increase your rollover sales.


  Here are just a few things you’ll learn from reading this article:


  • Why the rollover strategies provided by the mutual fund and insurance companies are not up to helping advisors "in the trenches".

  • Learn who is really winning the rollover war-----where do all the large rollovers really go?

  • A list of key strategies and information you must know to succeed in this market

  • Learn about a new lead program that you can use to attract new clients


There is a science to the rollover market. Once followed, any advisor regardless of how tenured can improve their skills and attract new assets into their practice.   Can simple rollover strategies really make a difference in your practice? You bet it can! Just read to what experienced advisors have to say on the right side of this page for a listing of testimonials.

This is an incredible opportunity that is available to you – but only if you take the first step. The first step is to read this article in its entirety. I know you are busy, but please don’t skim through this.  


Did you know 457 plans are not subject to the 10% early withdrawl penalty at ANY age? Not knowing this can destory a 457 rollover...



Who’s Really Winning The Rollover War


Fidelity, Vanguard, and other no-load recordkeepers are winning the rollover war right now in the United States . In fact in some cases they are keeping up to 80% of the money when clients finally roll their money out. Doesn't this piss you off?  The no-loaders have declared WAR against your firm and financial advice in general.


Proof – There is a Fortune 50 Oil & Gas company in Houston recordkept at Fidelity. Guess what --- they keep 75+% of the money once their 100,000 employees retire!


Do you honestly believe the big no-load monsters want to lose the revenue stream they are making from their 401k cash cows. No! In fact, the no-loaders are cross selling every product in their arsenal.


The recordkeepers have several advantages. First, they have all of the plan information. This means their employees can dig deep and identify weaknesses of 401k plans right there on their computer screen. The recordkeepers can also pull data feeds and identity the employees when they retire or change jobs.  Larger recordkeepers are also more likely to gain access to HR departments to give seminars to their employees. These no-load recordkeepers also have some of the most trusted brands in the investment industry.


Lastly, they have been setting up departments that specialize in the rollover market. When you do only one thing all day long, it’s not hard to become good at it. “Shooting fish in the barrel” might be one way to put it. After all, don’t you think a specialist will generally beat a generalist!


Why There is a Scarcity of Good Rollover Strategies



One would think with 60 million baby boomers retiring, the mutual fund and insurance companies that serve advisors would be chomping at the bit to provide rollover strategies and information to advisors.


Unfortunately, even the largest financial firms provide very little information or training to help advisors succeed in the marketplace. The training advisors receive is often put together by people who have very little hands on experience in rollovers. Training materials are often put together by some back office product manager who has either never worked as an advisor or is completely clueless as to what advisors really need to know. For example, did you realize that 457 plans are not subject to the 10% penalty, regardless of age! 


Secrets of A 401k Rollover Specialist


My name is Scott Brooks. I started my career in the financial industry in 1998 working with Edward Jones. Besides working with Edward Jones I have also worked with a bank broker-dealer as a financial advisor.


From 2000 to 2005 I worked at Fidelity Investments in a proactive rollover capacity. During my time at Fidelity I was able to work with 4000+ individuals retiring from Fortune 1000 companies and helped them make the best of their distribution options.




"I have taken 3 IRA courses from the main IRA gurus around the country.  Ed Slott, Barry Picker etc They provide a lot of technical information about IRA’s, but your “insider” information has got to be priceless to anyone trying to figure out how to actually get started and succeed. Know your enemy is a strategy promoted by successful battlefield generals. Your course really points out the “enemy” we independents are up against and that can only improve out odds of succeeding. Thanks Scott. "


Richard Curnow
Independent Advisor


As a result, I know exactly what you have been trained on and what information could best help your practice.


Honestly, Rollover Coach began in my mind in 2002. When I began at Fidelity my eyes were opened as to an entire new environment. One that most advisors had no training on.


Ever since that time I have wanted to help advisors like yourself benefit from my rollover knowledge. Fast forward to March 2007. I am having lunch with a wholesaler friend of mine who was approaching retirement. Over lunch one day for an hour I was able to give him information that he personally used to help with his own retirement planning.


 After explaining my wish of wanting to help other advisors increase their business, my wholesaler friend was completely sold and put a super duper strong buy recommendation on Rollover Coach.



So I finally spilled my guts and revealed all in my first ever 401k Rollover Course.


Here are just a few of the juiciest secrets I revealed in the course (I’ll tell you how you can get your hands on the material later)

Learn how to prospect Fortune 1000 employees of large companies in your city at work!. We show you a tool how to prospect employees of large companies in your city. (Very helpful by the way if you have a large local company announcing layoffs)


Want to prospect HR Departments? We will show you a way to acquire their key information...Imagine getting the names and phone numbers of each HR manager in your town for less than $50.


Advanced 401K rollover strategies you will NEVER learn from your back office or wholesalers...Remember the 457 example above? You did not hear that from any "wholesaler"


Discover how 401k rollovers are processed. Many advisors are completely in the dark here. If you have ever told a client “Call your company to get the rollover paperwork” you are screwing up royally. We will show you why.


Special tax treatments you must know cold


Strategies on working with clients’ pre-59 ½. Learn several ways clients can access 401k money before 59 ½ WITHOUT rule 72T.


Learn how you can rollover 401k assets from clients who have not left their company yet. We will teach you who you can target and why.


The single most powerful question you can ask a prospect to encourage them to seek financial advice. I tested this over 1000 times.


Discover the 2 sales which must be made before your prospect will rollover their money to you


Learn what information you should be tracking from companies in your area. You need to know pitfalls of the major employers in your area. We will teach you need to track to boost your rollover sales.


3 minute rollovers – Learn how to process some rollovers in as little as 3 minutes so the check can be processed ASAP.


The 5 biggest mistakes I have seen advisors make that have cost dearly.


And this is just the tip of the iceberg. Here’s what else you will find out:


Learn which products work the best in the rollover space (Hint: Variable Annuities don’t get NEAR the market share your friendly wholesaler tries to convince you of) The no-load recordkeepers will tear them to shreds.


How call-centers are set up at the no-load recordkeepers. Find out what they do and why its so important you know.


Advanced strategies on highlighting the weaknesses of a prospects 401k plan.


Why “Special tax notices” are used to stall the rollover process. Learn where to find the document to prevent your clients from having to wait to receive their money.


Learn our special asset allocation strategy which cannot be employed inside 99.9% of 401k plans available today.


Learn what factors influence why some companies are easier to get rollover business from than others.


Discover the 3 main types of people you will meet when prospecting


Biggest reasons why clients stay in their 401k plan (this is one of your biggest competitors by the way)


Learn which products are easiest to sell the large rollovers ($500K and above)


Investing mistakes made by the wisest Fortune 1000 employees




So you see, I condensed everything I’ve learned in the rollover market into 3 hours of pure, uncensored substance. Quite frankly, there isn’t a course out there that is as comprehensive as this for any price!


Are the advisors listed on the right any different than you? No. They represent rookies, 20 year vets, and evetyhing in between working in all channels in the industry. 


The only thing they did was put their doubts aside and give me material a try. If you too can cast doubts aside, you will be better positioned to drain the coffers of the local 401k plans.




"What an education! This series is a must listen for anyone who is serious about cracking the 401k rolloer market. From prospecting to questions you must ask, Scott covers the whole spectrum! The section covering age 55 separation from service allowed me to teach our family financial advisor how to handle our personal rollover and saved us nearly $100k in unnecessary taxes. This information is past informative. It’s actionable. Get it now!"

Charles E. White | Senior Regional Vice President | W&S Financial Group Distributors


Here’s What You Wont Be Getting


·        You wont learn academic strategies that are untested and unproven. Everything I give you have been tested the old fashioned way – the school of hard knocks

·        You wont be exposed to boring rollover information available through mainstream sources (wholesalers, back office people etc)



Now Before we go on, I’m sure you probably have some unanswered questions and concerns. So here are the most common:


Q  “Scott, why did you do this?”


A  I believe there is a big knowledge gap between the no-load recrodkeepers which control most of the 401k Plans for Fortune 1000 employers and the advisor community.

The large no-loaders are dominating this market…sometimes retaining up to 80% of the money when money leaves. Advisors who implement rollover coach will be better trained and armed for the 401K rollover battle of the 21st century. Also, I believe in financial advice and did not agree with the methods that some of the no-loader recordkeepers use in competing with advisors.


Q  “How does your program compare to other IRA training & marketing programs sold to advisors?


Most other IRA training focus on tax rules and IRA DISTRIBUTION PLANNING. My material came about as a result of my experience of having seen thousands of rollovers NOT the tax code. Therefore the material of more focused on marketing and prospecting money BEFORE its moved to IRA's.


Q  Scott, I already rollover most everyone I meet with. Why Do I need your program?


A Very simple, unless you have touched a billion dollars in rollovers like I have, there will be useful material in my course. Knowledge is power. Also, my lead generation program can help you see more people.



This seems so simple… just consider how much money is it worth if my system simply added a few extra rollovers per year to your practice?


How Much Is This Training Worth To You


How much is one $500,000 rollover worth to your practice?


If you do fee-based work….it might be $5000 per year for 10 years.

Commission based? $10,000 to $20,0000….


Back in 1998 I ran across a 58 year old AT&T retiree who was wanting to retire who had $459,999 sitting in 401k plan. He came to me – a rookie and was willing to transfer his 401k to me at Edward Jones…..but he wanted money penalty free ---and he did not want rule 72T. If I had this rollover course back then, I would have made several thousand dollars in gross revenue to the firm. Now, did Edward Jones provide me with any expert assistance, NO…


I will let you come up with the numbers based on your business model.


Now Comes The Tricky Part….


As you sit there reading this, I know that you’re thinking about all of the potential to acquire rollovers in your market. However, I want to warn you that I cannot guarantee you will get a copy, even if you wanted to. That’s because only 100 copies have been produced.


By the time to decide to secure your copy of the program, I am not certain how many copies would have already been sold, or whether there will be any copies left.


I would feel absolutely terrible if you respond too late – after all 100 copies are gone for good.




Well, quite frankly, it’s MUCH more profitable for me long term to spend an hour working as an advisor than working on marketing and promoting this website. Each version of Rollover Coach costs me $40 to produce, not including shipping and advertising. Add the costs up and subtract from the price and you will see what I am talking about.


The first 100 copies are my way of giving back to the financial industry. Once they are gone I will then decide if it’s worth my time to continue.


So I urge you to SECURE YOUR COPY of the Rollover Coach before you miss out on your opportunity to dominate your market.




I finished the course last week.  When I opened your package I plugged in the first CD and followed along with the book.  It was so interesting I went through 6 segments.  I finished the rest of the segments in the following few days.  Some of the information I was familiar with but the knowledge of how the wire houses and major investment companies and how they work was very enlightening.  The information I learned thus far will help tremendously.  I will be going over the material again.  Thanks for insight.

      - John J. IL



Please don’t confuse my course with the other “stuff” sold to advisors. I know the advisor life and always try to treat my customers as I would want to be treated in your shoes. I want you to be happy with the purchase and to help improve your business.



Don’t miss out on this offer, because it might not ever be repeated. I expect the course to be gone soon. Don’t delay.



I chose to package Rollover Coach in a 3-Ring Binder and ship it as a hard product because it is meant to be a reference manual that you can put your arms around and refer to over and over again. I just don’t think a digital download would do that. To shorten the wait, we ship USPS Priority Mail. And besides, I assume you plan on being in business for the long haul, so what’s a couple of days.

Most of my clients love being able to listen to the material in their car between appointments!


Your investment is tiny compared to the money making potential it had for you. Just one rollover could pay for this course 10 times over.


Here's how to get in on this:  I have a short stack of materials here in my office. Just give the word, and I will send an entire set to you. 



Silver Package - Core 401k Rolllover Secrets

3 Audio CD’s Covering 3 Hours of Pure Rollover Secrets ($299 Value)
Transcription of the audio coaching session ($49 Value)
Employer Tracking sheets you will use daily in your practice ($69 Value)
A custom built employee fact finder  ($69 Value)
An 8 Page Report you can send to clients to drive Rollover appointments. ($199 Value)
30 Minute Financial Advisor marketing session between myself and Brandon Hansen  ($49 Value)

Rollover Coach Rolodex (My best sources for 401k corporate directories, advisor mailing lists, website development and more...) $49 value

Your Investment in the Silver Producer Package is just $297.



Gold “Top Producer Package”

Everything in the Silver Package Above!  $750 Value  PLUS
DRIP Marketing Program Lead generation program  $299 Value
Marketing Kit for Fee-Based/Fee-Only Advisors Designed to Destroy Your Competition  $199 Value
Timber Lead Generation Program (For the Wells Non-Traded Timber REIT) $299 Value
SEO Report – How your practice can get free web traffic    $69 Value

Use Google To Attract Leads - EBOOK  $79 Value
Dan Kennedy’s Mega Profit Explosion Strategies  E-book   $ 49.95
Coupon for One coaching sessions with Scott        $297 Value

Your Investment in The Gold Package is just $497 (A $1946.95 Value)


 Just order the material using the 3 options below. I'll have my assistant rush-ship your package out via USPS.

1) Order securely online  (From the Buy Now Buttons Above) – We will ship your package the day you order via USPS Priority Mail.  
2) Order by fax - Just fill out this PRIORITY ORDER FORM and fax it directly to my office fax at 1-832-201-4190. This line goes directly and only to me.

3) Order by mail (you may pay by check payable to Brooks & Co. ) - Fill out this PRIORITY ORDER FORM and send it to:
Brooks & Co.

16107 Kensington Dr. Suite 119

Sugar Land, TX 77479


Scott Brooks, MBA, CFP®


P.S.  You are not going to find anything in the industry quite like what i have put together. These DVD's and CD's are the next best thing you can get to actually having experienced a BILLION dollars in rollovers yourself.  Don't put this off.


P.S.S. Want another reason, how about this - your entire investment in this system should be 100% tax deductible.(consult your tax advisor) 


P.S. Just one piece of new business will pay for this program many times over!



  Registered Reps  
  Financial Planners  
  Insurance agents  
  CPA Firms  
  IRA Product Managers  
  Mutual Fund & Insurance Executives  

Free Sample Chapter - Receive 10 Minutes of Rollover IRA Coaching From Our Rollover Course (Audio Format) 
To help us all fight spam you will be asked to verify your email address to receive the report. I never rent or sell your contact information.

There are two ways of learning, your own experiences and the experiences of others. Scott reveals his knowledge he acquired from being on all sides of the rollover transaction in this excellent material. If you're in the financial services industry this is a must have. I just rolled over a $350,000 Franklin Templeton Rollover and am battling a no-loader with a $600,000 401K. Both are the result of the Rollover Coach program. I have already received a 1248% return in the material. 


Jesse Black - Independent Advisor




You really have incredible insight as how this industry works in terms of the 401k rollover market and what advisors are up against. Basically the stuff we don't learn from wholesalers. The course is very well thought out and fantastic information.  We are so excited that we are creating a marketing plan around the course because we feel no one else has this information. We also feel the course will be extremely in working with those retiring. Finally, we feel we can now give our clients information that never before we could have given them. Basically, we were able to become experts in short order.


Jay Weinstein - Allegience Financial Group.




I have taken 3 courses from the main IRA gurus around the country (Ed Slott, Barry picker, etc) While they provide a lot of technical information about IRA's your "insider" perspective has got to be pricless to anyone actually trying to figure out how to actually get started and succeed.


Richard Curnow  - Independent Agent




I finished the course last week.  When I opened your package I plugged in the first CD and followed along with the book.  It was so interesting I went through 6 segments.  I finished the rest of the segments in the following few days.  Some of the information I was familiar with but the knowledge of how the wire houses and major investment companies and how they work was very enlightening.  A few days ago I educated my client about how the investment companies try and hold on to their money.  My client actually said "well it's my money and I'll do what I want with it".  The information I learned thus far will help tremendously.  I will be going over the material again.  Thanks for insight.


John J.   IL


 I stayed late tonight to listen to the CD's.  Lots of information.   Great insight to the different rollover processes.  I did not know about the division layoffs creating opportunities. Opened my eyes to new opportunities !  

Thanks so much ! Joe F (bank broker)


"Your rollover program has been very helpful to me. By listening to your program I was able to learn enough that a new physician client found it very impressive. Your program helped me acquire a small rollover but also opened up several million dollars of outside money. Thanks Scott. Mr. Robert Toth.  Tri-Star Financial


If you have any interest in getting in on the potential windfall of rollover business, seriously consider making the rather small investment in Scott's rollover coach course. Your eyes will be opened to a world that I am sure many of us never knew existed.

Christian Halas, Halas Consulting (Venn Wealth and Benefits RIA)


"Where have you been all of my life! How many times could I have used this information in the past, but thanks to you I have it for today, tomorrow, and the rest of my life! The "Rollover Coach course" certaintly makes it easier to move to the next level. Perhaps there are those that have found their way to "the next level" without the aid of the course, but why try when you can be propelled there much faster with the information from this course. Its a must for any serious financial advisor!

John P. Howell.


What an education! This series is a must listen for anyone who is serious about cracking the 401k rollover market. From prospecting to questions you must ask, Scott covers the whole spectrum! The section covering age 55 seperation from service allowed me to teach our family financial advisor how to handle our personal rollover and saved us nearly 100K in unnecessary taxes. This information is past informative. Its actionable! Get it now!

Charles White |Senior Regional Vice President | W&S Financial Group Distributors


The module in your course about processing rollover gained me some extra credibility by knowing
about the no-loaders tactics and the client received funds in a little over a week. The client was happy that everything went sosmoothly. Thanks for the heads up on countering this particular tactic that you taught in your Rollover Coach. Great info to know what the opposition is up to and be prepared help the client avoid the typical hassle of their delaying/defensive strategies. 

Mark. R. 30 years experience



Your material was very helpful in initiating a rollover out of Fidelity last week. Thank You Scott.


Robert McKinnon, CFP®



I attended a conference presented by Scott Brooks, whose instruction in the area of IRA's, including the differences between recordkeepers and how they operate has made me a better advisor. Furthermore, Scott has confirmed the importance of building relationships with your clients based on providing sound, easy to understand guidance and advice. His training CD's are very valuable as a resource that you can fall back on as needed. His knowledge is worth every penny. Order his program right now!


Robert Zakian

AIM Tax Advisory Group.



















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