Solo Advisor with a Support Staff of Two


  • 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 Experience with the associated deliverables.
  • They did not have any documented, standardized processes in place or workflow templates in their CRM. This prevented their team from being able to deliver consistent services, work efficiently and take advantage of certain growth opportunities that had been presented to them.
  • The individual staff members did not have clearly defined roles, which also contributed to the inefficiencies they were experiencing.
  • The team was not leveraging technology like they should have been.



  • Each team member completed assessments on personality, skills, interests and values and we implemented recommendations on how each person could best serve the firm by role and also experience a high level of job satisfaction.
  • Scheduled regular discussions between the advisor and support staff that allowed us to clearly define each of their roles for clarity so each team member knows who would be responsible for various critical tasks.
  • Created service tiers for their clients so specific deliverables could be decided upon and systematized for each tier.
  • Assisted the staff with designing the Client Experience they wanted to deliver to their clients. This included communications, planning areas offered, specifically how meetings are conducted and followed up, client education, client events and more.
  • Implemented our comprehensive Workflow System comprised of customizable processes and templates of associated documents (which includes educational materials, assessments, visual aids and more.) This resulted in a much higher level of client service being delivered without a lot of additional bandwidth.
  • After providing a technology analysis and recommendations, the firm was able to implement best-in-class technology for their needs to work more efficiently and profitably while improving their Client Experience.
  • By adopting, customizing and implementing our workflow system, the team was able to systematize their services, yet still deliver a very customized experience to their clients.
  • A system was created for the firm so they can form alliances with other professionals that their clients work with so they can coordinate advice and also generate referrals.