SOLEFOCUS — RETIREMENT FUNNEL

From Mailbox
to Managed Assets.

Every step of the retirement client journey — with a compelling offer at each decision point so prospects always have a clear, low-friction reason to move forward. Click any stage to expand.

5
STAGES
5
DECISION POINTS
5
HORMOZI OFFERS
1
DESTINATION
1
TOP OF FUNNEL — AWARENESS
Direct Mail Campaign
The first impression. Lands in the right hands at the right life moment.
10,000
MAILERS SENT
▼ EXPAND
WHAT IT DOES
Creates name recognition before the workshop
Targets specific zip codes and demographic profiles
Drives a single action — register for the workshop
10 years of refinement — the firm's single best channel
THE PROSPECT AT THIS MOMENT
Approaching retirement — 3 to 10 years out
Concerned but not yet urgent
Has seen mailers before — skeptical by default
Needs a reason to show up that feels worth the evening
RESPONSE METRICS
Industry average response rate: 1-3%
Target: 100-300 registrants per campaign
Couples attend together — one mailer, two prospects
Lead cost: $30–80 per registered attendee
STAGE 1 OFFER — THE WORKSHOP INVITATION
THE DREAM OUTCOME
A free evening that gives you a clear picture of whether you are on track — and what to do if you are not.
PERCEIVED LIKELIHOOD
Free dinner. No obligation. Held at a respected venue. The firm has been doing this for over a decade in San Diego.
TIME TO VALUE
One evening. Walk in uncertain. Walk out with a clearer picture of your retirement readiness than you had before.
EFFORT AND SACRIFICE
Show up. Bring your spouse. Ask questions. Nothing more is asked of you at this stage.
THE HEADLINE THAT GETS THEM TO REGISTER
"Discover the 5 Retirement Mistakes Most San Diego Families Make — and How to Avoid Every One of Them."
⚠️
WHERE THIS STAGE LEAKS
The mailer hits the right household but the headline does not create enough urgency. They mean to register and forget. Fix: Add a clear deadline, a specific seat limit, and a QR code that takes them directly to a registration page — not a phone number.
RESPONSE RATE
1–3%
2
MIDDLE OF FUNNEL — TRUST
The Workshop
The room where trust is built. The advisor earns the right to the next conversation.
150
ATTENDEES
▼ EXPAND
WHAT HAPPENS IN THE ROOM
Education-first — genuine value delivered before any ask
Covers the 5 retirement risks most people are not prepared for
Creates emotional resonance — they feel seen, not sold to
Ends with a clear, low-pressure invitation to go deeper
THE PROSPECT IN THIS ROOM
Skeptical but curious — they came for a reason
Often with spouse — both need to feel comfortable
Comparing the presenter to every advisor they have met before
The decision to take the next step is made in this room
THE EASTER EGG STRATEGY
QR code to vault PDF guide distributed during session
Retirement Readiness Quiz link embedded in materials
30-day vault access code given to all attendees
Email captured even from those who do not book the call
STAGE 2 OFFER — THE THIRD DAY INVITATION
THE DREAM OUTCOME
A private, no-obligation conversation where we look at your specific numbers and tell you exactly where you stand — not a generic presentation, your situation.
PERCEIVED LIKELIHOOD
They just spent 90 minutes watching you teach. You have demonstrated competence and trustworthiness before asking for anything. The ask lands completely differently.
TIME TO VALUE
One appointment. 60 minutes. Walk out knowing whether your retirement plan has gaps — and if so, where they are. Concrete, actionable, specific to you.
EFFORT AND SACRIFICE
Bring your most recent statements. Spend 60 minutes. No commitment to anything beyond the conversation itself.
THE LINE THAT GETS THEM TO BOOK
"Everything we covered tonight applies to most people. The Third Day is about whether it applies to you specifically — and what to do about it."
⚠️
WHERE THIS STAGE LEAKS
The invitation to book the Third Day is too soft or too late in the presentation. By the time they get to the parking lot the urgency has faded. Fix: Book the appointment in the room before they leave. Have a tablet or sign-up sheet at the exit. Warm follow-up call within 24 hours for everyone who did not book on the night.
VAULT CAPTURE — NON-BOOKERS
Not everyone books the Third Day in the room. That is expected. The vault registration and quiz completion captures their email and intent data so the nurture sequence continues. Some of these people book an appointment 3-6 months later after consuming vault content. No lead is wasted.
BOOKING RATE
25–40%
3
DECISION POINT — DISCOVERY
The Third Day
The private appointment. The moment the relationship either begins or ends.
50
APPOINTMENTS
▼ EXPAND
WHAT HAPPENS IN THIS MEETING
Advisor reviews their actual numbers — not hypotheticals
Identifies specific gaps in their current plan
Demonstrates the firm's analytical capability firsthand
Ends with a clear picture of what a financial plan would reveal
THE CONVERSATION STRUCTURE
15 min — Their story. Let them talk. Listen completely.
20 min — Their numbers. Identify the gaps out loud.
15 min — What a plan would address. Specific, not generic.
10 min — The invitation to proceed. Clear, confident, no pressure.
QUALIFICATION CRITERIA
$1.5M+ in investable assets or clear path to it
Retirement within 10 years or already retired
Decision maker present — ideally both spouses
Genuine openness to making a change if warranted
STAGE 3 OFFER — THE FINANCIAL PLAN INVITATION
THE DREAM OUTCOME
A comprehensive financial plan built specifically for your situation — showing exactly what your retirement looks like under multiple scenarios, with clear recommendations for closing every gap we identified today.
PERCEIVED LIKELIHOOD
They just watched you identify real gaps in their current plan using their actual numbers. You have moved from trusted presenter to trusted advisor. The ask for a plan is natural, not pushy.
TIME TO VALUE
The plan is delivered within two to three weeks. They come back for a plan review meeting with a complete picture of their retirement — income, taxes, healthcare, estate, and legacy all addressed.
EFFORT AND SACRIFICE
Gather additional documents. Complete a detailed questionnaire. Come back for one more meeting. The plan may carry a nominal fee — which signals its value and filters for seriousness.
THE LINE THAT ADVANCES THEM
"Based on what you have shared today, I can see three things that need to be addressed before you retire. A financial plan will show us exactly how to address each one — and what the cost of not addressing them is."
⚠️
WHERE THIS STAGE LEAKS
The advisor identifies the gaps but does not make the cost of inaction vivid enough. People move away from pain faster than they move toward gain. Name the specific dollar risk of each gap. Make it concrete. Then the plan becomes urgent rather than optional.
PLAN CONVERSION
60–75%
4
HIGH TRUST — DEMONSTRATION
The Financial Plan
The plan that proves the firm's value before asking for the business.
35
PLANS DELIVERED
▼ EXPAND
WHAT THE PLAN DELIVERS
Retirement income projection across multiple scenarios
Tax-efficient withdrawal strategy and sequencing
Social Security optimization timing analysis
Healthcare and long-term care cost modeling
Estate and legacy planning framework
THE PLAN REVIEW MEETING
Walk through each section — no jargon, no confusion
Show them exactly what changes if they work with the firm
Make the cost of their current situation concrete and visible
End with a clear transition from plan to partnership
WHY THE PLAN WORKS AS AN OFFER
It is tangible — they hold something in their hands
It demonstrates capability before they pay a dollar in fees
It creates psychological commitment — they have invested time
The natural next question is: "So how do we implement this?"
STAGE 4 OFFER — THE PMA INVITATION
THE DREAM OUTCOME
Everything in this plan gets implemented and managed on an ongoing basis by the same team that built it — so you never have to worry about whether your retirement is on track again.
PERCEIVED LIKELIHOOD
They have now seen you teach, met you privately, and received a detailed plan for their specific situation. The relationship has been built across three touchpoints. The ask for the business is earned.
TIME TO VALUE
Onboarding begins immediately. Accounts transferred within 2-4 weeks. First portfolio review within 90 days. They feel the difference from day one.
EFFORT AND SACRIFICE
Sign the PMA. Complete the account transfer paperwork. The firm handles the rest — including coordination with their existing custodian.
THE LINE THAT CLOSES THE PLAN REVIEW
"This plan solves the three problems we identified in your first meeting. The question is whether you want us to implement it — or whether you take it somewhere else to do it. Either way, you now know exactly what needs to happen."
⚠️
WHERE THIS STAGE LEAKS
The plan review becomes a presentation instead of a conversation. The prospect leaves impressed but not committed. Fix: At the end of the plan review, ask directly — "Does this feel like the right path for you and your family?" Let silence do the work. Do not fill it.
CLOSE RATE
70–85%
5
THE DESTINATION — NEW CLIENT
Portfolio Management Agreement
The business comes over. The relationship begins in earnest.
25
NEW CLIENTS
▼ EXPAND
THE ONBOARDING EXPERIENCE
Welcome package delivered before first account transfer
Dedicated point of contact named and introduced
Account transfer handled entirely by the firm
90-day check-in call scheduled at onboarding
THE ONGOING OFFER — EXPANSION
Annual review: "Is there money elsewhere we should be aware of?"
Family introduction: "Would your children benefit from this conversation?"
Referral ask: "Is there someone in your life facing the same decisions you were?"
Vault access: ongoing education keeps the relationship active
AUM PER NEW CLIENT
Average initial transfer: $1.5M–$2.5M
Wallet expansion target: additional assets within 24 months
Referral value: 1.2 clients per client over 5 years
Lifetime value at 1% AUM fee: $15K–$25K annually per client
STAGE 5 ONGOING OFFER — DEEPEN AND EXPAND
WALLET EXPANSION OFFER
"Now that we manage your primary assets, let us look at everything else — the 401k you have not rolled over, the inherited IRA, the savings account sitting idle. One complete picture is always better than a fragmented one."
FAMILY EXPANSION OFFER
"Your adult children are going to face the same decisions you faced. Would you like us to have a conversation with them? No cost, no obligation — just the same clarity we gave you, earlier in their journey."
REFERRAL OFFER
"We do not advertise. Our best clients come from people like you who found real value in this process. If you know someone approaching retirement who is not sure they are on track — we would be honored to give them the same conversation we gave you."
VAULT ENGAGEMENT OFFER
Ongoing access to the client education vault keeps the relationship active between annual reviews and surfaces new planning opportunities naturally — without the firm having to initiate every conversation.
THE GOAL AFTER THE PMA IS SIGNED
The business coming over is the beginning, not the end. A client who brings $1.5M and refers two more clients over five years is worth $4.5M+ in AUM. The onboarding experience, the annual review process, and the family expansion offer are what transform a single transaction into a generational relationship.
FUNNEL CONVERSION SUMMARY — PER 10,000 MAILERS
10,000
MAILERS
→
150
WORKSHOP
→
50
THIRD DAY
→
35
PLAN
→
25
PMA
→
$45M+
NEW AUM
The single highest leverage move in this funnel is improving the Third Day booking rate from the workshop. Moving from 25% to 35% booking rate adds 15 additional appointments per campaign — which at current conversion rates is approximately 9 additional clients and $16M+ in AUM per mailer cycle. The workshop-to-appointment conversion is where the most money is sitting on the table. Every other stage in this funnel compounds from that one number.
SOLEFOCUS — RETIREMENT CLIENT FUNNEL — CONFIDENTIAL — FOR INTERNAL USE