My Services
What I Specialize In
Consulting on Starting or Joining an RIA
I consult with individuals and teams about starting or joining an RIA. While my services focus on the process of transitioning client assets, I also have an extensive library of resources I've created, and a network of providers I refer to, that assist advisors with the marketing, technology, legal, compliance, asset management, billing, and financing aspects of the process.
Data Collection, Manipulation & Preparation
In many cases, I will assist teams with collecting, manipulating, and preparing client data during the pre-transition phase of the process. This can be a significant value-add for teams initiating a Protocol transition or a situation in which the team owns their client data outright. For Non-Protocol transitions, I consult on the process of sourcing public client data, collecting it during the transition, and organizing it for success.
Customizing a Game Plan
I help teams understand what to expect before, during and after the transition, teach them how to manage it efficiently, and assist with crafting client communications that set realistic expectations and satisfy all legal and compliance-related requirements. I create customized resources and workflows and often serve as the project manager, or quarterback, of the process.
Transferring Assets Quickly & Efficiently
During the entire pre-transition process, and for several weeks during the transition, I work with teams to prepare, distribute, conduct due diligence on, and process client paperwork. I manage issue resolution and track the progress of all efforts. When requested, or suggested by me, I travel on-site to the team's location and provide hands-on support.
Training & Educating Advisors & Staff
I train teams on their new custodial platforms and educate them about the entire transition process. When nearing the end of the scope of my contribution, I consult with staff members about the delegation of tasks and bring them fully up to speed on everything they need to know in order to seamlessly complete the project.
Providing Resources for Future Success
I provide all the resources necessary to track the progress of the transition and to visualize and quantify the results of all efforts in real-time. I customize conditionally formatted spreadsheets, fillable data collection templates, and client communication tools.