Check Out Bill Cates’ NEW Top Advisor Podcast™
Interviews with Top Advisors for Top Advisors!

Listen + Subscribe Now

Your Checklist of Key Actions to Sustain the Flow of Referrals & Introductions

by Bill Cates
More Referrals & Introductions – Use this Checklist

Don’t let the simplicity of this week’s blog fool you.

Each one of the checklist items below is an important step in your effort to be appropriately proactive for referrals and introductions.

You really don’t want to miss any of these steps if you’re committed to doing what it takes to multiply your best clients.

11 Steps to be appropriately proactive for referrals and introductions. 

_____ Your Client-Focused Why. Telling a prospect why you believe in the work you do, that value that you bring, usually has a story connected to it. Telling this very short story or anecdote will help you build trust with your new prospects.

_____ Be Curious. Pay attention to who your prospects and clients know. Who are impacted by their financial decisions? What do they do socially, as well as community activity? You’re looking to identify folks you can re-introduce into the conversation about providing introductions.

_____ Discuss Expectations. Check in regularly to clear up issues and verify value has been recognized by your prospect or client. See if you are falling short on any other expectation. Find out what they love about working with you and your team. This conversation will generate referrals without even asking.

_____ Plant Seeds.  Promote introductions early and often with prospects and clients. Get the concept of introductions into the relationship early. Sometimes you get introductions quickly without even really asking for them.

_____ Teach Your Clients.  Two big reasons some clients don’t like to give referrals are:  1) Concern about privacy, and 2) Concern about how you will handle their introductions to others. Let them know that everything remains confidential (even with other family members) and that you work through introductions. You’re not going to call anyone from out of the blue.

_____ Use an Agenda.  Manage your appointments with an agenda so you don’t run out of time. Put Value Discussion or Expectations Checklist near the end (but not at the very end). Show the agenda to your prospects or client so they can checkoff the items as you complete them.

_____ Use a Pre-Appointment Routine.  Just as athletes have their pre-game routine and musicians have their pre-performance routine, you can have a pre-appointment routine related to introductions. Think through what you’ll say and what names or categories you can suggest.

_____ Use Cates’ V.I.P.S. Method™.  Our V.I.P.S. Method for Asking for Introductions has been proven to work for thousands of financial professionals. For a deeper look into this process, go here:

_____ Get Introduced!  Turn your clients’ willingness to refer into an effective introduction. In-person intros are great, if logistics are smooth. Email introductions typically work very well.

Here’s a free guide on email introductions:

_____ Keep Them in the Loop.  Keep your referral source updated with your progress. If you set an appointment, let them know.  Remove them from the email chain after they see you’ve followed up. If you are having trouble reaching the introduced prospect, let the source know.

_____ Say “Thank you.”  You want to “reward” your referral source by saying thank you. Don’t wait for the prospect to become a client. Reward the giving. Handwritten note is minimum. Gift cards are great. It’s not about the money.


  1. Review the above strategies with your team. Which one or two can you begin to enhance immediately?  And don’t forget about the others for future implementation.

Let me know what you’ve decided to work on, how it’s going, and what questions have popped up.  I’d love to hear from you.

Forward this article to a friend or colleague.

And don’t forget ALL our resources – many of them free – are waiting for you at

Virtual Referral Training is Here

Are you ready to grow your business … and change your life?

You can learn and implement our proven process while working from home or not seeing clients and prospects face to face.

Get the details and join us:

Cates Academy

Referral Coach