Case studies

Challenge: A fintech needed more resources with deep subject matter expertise to design and plan their integrated product offering.

Challenge:  A technology start-up with a mission to transform hiring through the use of technology and data found itself ready to grow from ‘bootstrap’ to fast growth thanks to an infusion of capital in the business. The founders were determined to remain true to their original mission to foster equal hiring opportunities while enabling HR teams to make quicker decisions with confidence.

Challenge: A broker dealer needed the appropriate governance framework to execute a complex technology portfolio.

Challenge:  An RIA made the decision to leave their consolidator RIA and start their own RIA business. They needed help building and executing a transition strategy and plan that would have little to no client impact. 

Challenge:  A regional bank had an urgent need to apply for broker dealer registration that would enable them to better serve their customers and grow their business. This objective required external resources to navigate the FINRA registration review and approval process to establish the broker dealer within an aggressive timeline.

Challenge: A new breakaway RIA needed to formalize their core operational procedures including service model for growth and custodian expansion.

Challenge: As technology costs increase and profit margins compress, a Broker Dealer needed options to increase revenue and reduce expenses.

Challenge:  An independent broker/dealer needed an objective assessment of their current onboarding processes and recommendations for preparing their organization for increased growth.

Challenge: With so many digital assets already available to wealth managers, a Fintech was seeking expert opinion on whether to enter the US Wealth Management marketplace.

Challenge:  A bank needed help with technology integration and operational transition support to seamlessly move to a new clearing firm. 

Challenge: A broker dealer transitioning from self-clearing to fully disclosed  had to transform their internal organization with minimal disruption to their customers, employees, and organization.