Services

With business insights and experience gleaned from partnering and interacting with hundreds of firms, we’ll help you develop the optimal organizational structure – including suitable staffing levels, appropriate coverage for your branch opportunities, and required sales management and support roles.

We’ll also help you grow your managed asset and financial planning business to create business sustainability and long-term growth.

Leveraging our proprietary benchmarking and our broad industry experience, we can help your team design and implement compensation and incentive plans for advisors, sales managers, executives, sales assistants, and other support roles.

We have the data and expertise to help you mitigate advisor attrition and develop retention plans to keep your elite advisors in place.

Let us help you navigate the RFP and broker/dealer selection process by providing you with an objective, third-party perspective you can leverage with your leadership team to gain the support and approval you need to move forward.

We can provide guidance when selecting a third-party marketing (TPM) firm if you are considering the decision to either become or remain a BD, or need help with RFPs, contract negotiations, or renewals with an existing partner.

Firms have commonly run these business as two distinct entities, but more clients are seeing the benefits of unifying the wealth management experience.

With our partner, Strategic Advisory Consulting Group, we can help identify and address the best ways to bring these businesses together to create a seamless client experience.

We understand the importance of helping you protect the business you have built.

In partnership with Dinsmore Compliance Services, we’ll work closely with you to provide the tools and resources you require to run a compliant and successful firm.

From compliance and financial operations consulting to legal reviews and assessments, you’ll have top-quality representation in the areas of most importance to your business.

The business of providing financial advice has grown increasingly complex. The processes and technologies you depend on to operate an efficient and effective business are critical to serving your clients and growing your business.

In conjunction with our partner, Carpenter Operations Group, we can help you streamline processing, reduce costs, increase speed, and enhance overall productivity and efficiency across your firm.