Archive for January 2020

Before: In addition to their high net worth clients, the firm approached us to develop a well-defined way to deliver services to the mass affluent. They had very few documented planning processes in place which translated into many of their services being delivered more reactively instead of proactively. The firm’s CRM was one of their…

Before: This firm’s service model was investment-centric with retirement planning and possibly some other light planning, according to client needs at any given time. There were two very experience advisors and two moderately experienced advisors on their team. They had very few documented planning processes in place. Although all four advisors were utilizing mind maps…

Before: The firm has an experienced two-advisor team with one assistant. The firm engaged us to assist them with preparing for and managing a transition from a broker/dealer to becoming an independent RIA. The advisors provided service to over 200 clients. They wanted to pare that number down to somewhere between 100 and 150 clients…

Before: The advisor had a large base of clients who needed and wanted their firm to provide them with planning advice in multiple areas. The team had not yet thought through in detail the specific services they would provide to their clients. This prevented them from working efficiently and being able to design their Client…