Client Engagements


$4 Billion Registered Investment Advisor/Wealth Manager

Objectives: Attain greater marketing and sales force leverage, efficiency and productivity; design and implement a long-term retention plan for key members of the second generation.

One of few wealth management firms with a dedicated, direct sales force, we advised the firm on how best to leverage its already successful results with a complementary effort that encompassed high quality referral sources and targeted advertising.  The results were additive and efficient.  Additionally, we designed and implemented a new compensation structure that introduced a long-term retention plan that was attractive to the future leadership of the firm.

$1 Billion Non-Depository Trust Company

Objectives: Increased organic growth, more consistent client service delivery, improved margins and expanded capabilities set.

We advised the new leadership team here on a variety of core business disciplines (client service, sales, product set) and provided on-going coaching with respect to implementation, which led to substantially improved sales results and productivity gains.  These efforts also included a new pricing discipline and service standards for all clients.

$5 billion Registered Investment Advisory/Wealth Manager

Objective: Migration to a more formal organization structure, construction of a new strategic plan and partnership agreement surrounding the reinvestment necessary for funding growth initiatives.

A sizable and highly successful firm by standard industry measures, we were engaged to run a strategic planning effort that included specific action plans to address their structural weaknesses in the areas of management structure, leadership development, equity recycling and consistency of the sales and client experience.  With more than one dozen partners at various stages of their careers, this assignment was particularly complex with respect to gaining consensus on how best to fund growth initiatives from internally generated cash flow vs. outside financing sources.

Super-regional Broker-Dealer

Objective: Develop a competitive and cohesive offering for the $5-20 million HNW market segment

This traditionally retail firm is re-building its Private Wealth Management business with our advice and counsel in such areas as market segmentation, the client experience and the core value proposition to its current and prospective client base.

Leading Regional Bank

Objective: Increased organic growth rate for its wealth management business division.

Stymied by lackluster growth of their wealth management business, we evaluated the internal and external impediments to more robust sales growth and are continuing to work on execution plans for significant growth.  These plans include additional sales and service training, articulation of the core value proposition, and improved channel management.


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