How we help clients - Case studies

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

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 Broker Dealer needed the appropriate governance framework to execute a complex technology portfolio.

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

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.  

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:  An Independent Broker/Dealer needed an objective assessment of their current onboarding processes and recommendations for preparing their organization for increased growth.

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

Your Wealth Management practice is thriving. Your holistic, fiduciary approach has resulted in more clients and assets than you had ever planned for. So, what now?  How do you position your firm to best meet the future needs of your clients and your practice? 

The growth of Fintech solutions is both exciting and dizzying at the same time. New technology trends, such as AI, low code/no code, and data sharing to name a few, are enabling new solutions all the time. Each may fill a critical or novel need for advisors and their clients. But, taken as a whole, these individual solutions may introduce new inefficiencies for your wealth management firm.  

Having an integration strategy that fits into your larger technology strategy is key. And, like every strategy, it’s a balance of priorities. 

Understanding and selecting the right project management approach can make or break a technology implementation. Depending on your depth of experience, you may have encountered any number of disciplines over your career with potentially varied success. No doubt you have experienced the “Six Sigma” program. What is interesting today is that there are now evolved approaches to the original program that make it more accessible and practical for more situations. To understand how this “Skinny” approach works, it is helpful to take a look at the evolution of Six Sigma.  

Undoubtedly, AI is changing how we do everything, from how we work to how we play and live. The shiny new thing—AI—mustn’t distract you from your organization’s mission, goals, and clients. It’s vital to be clear about these because AI is evolving exponentially. To keep pace, today’s organizations will need to integrate IT/AI strategies frequently to ensure continued alignment with business and client aspirations.