eDNA Case Studies: Financial Professionals

How Entrepreneurial DNA Impacts Financial Professionals

By Joel Lund, Certified Partner of BOSI Global

After 17 years in the financial services industry and coaching hundreds of professionals in it, it’s clear entrepreneurial DNA (eDNA) is powerful.

Over and over again I have observed how important it is to know how our entrepreneurial DNA impacts us. Not knowing leads us to underperform. Or even fail.

However, playing to our entrepreneurial strengths makes us more effective, efficient and happy in our work.

Below are classic case studies of real advisors, agents, managers, etc. Which one’s story feels familiar?


PFRC FinPro 1Case Study #1: Chad, New Advisor

Chad is a new financial advisor. He’s green, motivated and ready for a better career. He needs a higher income and expects to get that by his hard work and persistence. He can’t figure out how to balance the demands of his new career with his other responsibilities.

Download Chad’s story

PFRC FinPro 2
Case Study #2: Patrick, Sophomore Advisor

Patrick has been a financial advisor for several years. He’s experienced success but not what he expected from his career. He can’t figure out what’s missing. He’s already working as hard as he can and puts in too many hours the way it is.

Download Patrick’s story

PFRC FinPro 3Case Study #3: Brian, Senior Advisor

Brian a 20 year veteran of this industry. He’s ready to transfer his practice to his daughter. The problem is that his company seems to think he’s not as careful as he needs to be: with paperwork, what he says on the phone, even what he includes in his client letters.

Download Brian’s story

PFRC FinPro 4
Case Study #4: Richard, District Manager

Richard is a 30 year veteran of the industry. He’s held every leadership role they have a name for. But now he is having trouble. Without a personal staff, there is more for him to remember. His direct reports aren’t following him. Richard risks termination.

Download Richard’s story

PFRC FinPro 5
Case Study #5: Marilyn, Tenured Advisor

Marilyn is a rare financial professional. She’s ambitious, smart and exceptional with clients. She’s inventive and loves trying new marketing approaches. But she is getting into trouble for it. She doesn’t know how to grow her practice with “old school tools.”

Download Marilyn’s story

PFRC FinPro 6
Case Study #6: Mike, Managing Partner

Mike is an award-winning manager. He’s good, and he knows it. But he wants to be better. His team depends on him. After a strong start, Mike’s office isn’t consistently hitting their targets. Mike is frustrated. All the leadership tools the company provides Mike is using.

Download Mike’s story

PFRC FinPro 7Case Study #7: Stan, Regional Vice President

Stan is the quintessential leader. He’s been the firm’s best Regional Vice President for years. But something has changed. Stan can’t put his finger on it. He’s not ready to retire, but he wants to go out on top. If he waits much longer, a younger RVP is on track to beat him.

Download Stan’s story

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