Scott Smith

Director of Advice Relationships

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About Scott

With more than 20 years of financial services industry experience, Scott leads Cerulli’s research efforts focused on investor behavior and advisory relationships. In his time at Cerulli he has authored more than two-dozen in-depth reports on topics ranging from wholesale distribution to digital advice platforms. His research helps Cerulli’s clients understand how to optimize their platforms given the evolving demand for financial advice.

Scott started his career wearing a headset at Putnam Investments’ service center in 1996, before moving to more strategic roles at MFS Investment Management starting in 2000, and then to Cerulli in 2007.

In addition, he currently serves as member of the CFP Board’s Digital Advice Working Group, and as a judge for the wealthmanagement.com Industry Awards.

Education

  • The Johns Hopkins University
    Bachelor of Arts in Economics
  • Bryant University
    Master of Business Administration

Areas of Expertise

  • Client advice relationships
    • Financial planning
    • Fee-based managed accounts
    • Fiduciary principals
    • Behavioral finance
  • Retail investor platforms and relationships
    • Direct to investor brokerage and advisory
    • Digital advice
  • Wholesale financial product distribution dynamics
    • Investment product development and management
    • Advisor portfolio construction
    • Asset allocation model portfolios

Recent Project Work

  • Charles Schwab Whitepaper: Mitigating the Impact of Advisors’ Behavioral Biases, 2020
  • SIFMA-Cerulli Individual Investor Project Sizing and Satisfaction Metrics, 2020
  • Private equity acquisition target firm assessments, confidential

Learn More about the U.S. Wealth Management Practice

Our Wealth Management practice is split into four distinct areas of coverage—offering top-down and bottom-up insights into the multi-faceted corners of the industry.

Learn More

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