“Most companies spend the vast majority of their time doing things that have absolutely nothing to do with their success.”

Richard J. Capalbo is the Principal in Richard Capalbo Enterprises LLC, a Los Angeles consulting firm specializing in the Financial Services Industry. His first book “Investment Survival,” has been widely used throughout the industry and focuses on the proper use of research in portfolio construction. His second book “Becoming A Life Advisor – A Guide to the Ultimate Client Service Model,” dramatically expands and enhances the role of professionals working with their investors.

Richard has guest lectured at several of the country’s leading Universities. He has made over 500 keynote presentations in the securities and banking industries on the dynamic changes taking place within the role of Financial Advisors and bank Relationship Managers and how they adapt to excel in a rapidly changing market environment.

The focus on selling product over the past several years has moved Advisors and Relationship Managers away from focusing on the client relationship. Priorities must shift from servicing the clients assets to servicing the client first and then their assets. With the current emphasis on Separately Managed Accounts (SMA) many Advisors and Relationship Managers no longer understand the importance of how equity portfolios are structured to manage risk. They must be able to look through the “Style Box” analysis to understand what managers are really doing to be able to properly advise their clients. “Investment Survival” helps them to be able to provide better oversight of their clients managed investments.

At our corporate retreat, Richard’s presentation was responsible for redirecting our entire thinking. We formulated a completely new marketing plan and brought our business to new levels.”

– Robert DeChellis,
EVP Sales and Marketing