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Project Description

My client came to me with a large practice that was growing at a torrid pace because of his client niche and his reputation. He was an advisor on the go, traveling constantly to see current and prospective clients, handling service issues, and marketing and managing his firm.

He had frustrations with the payout at his wirehouse firm and questions about whether it would put him at a competitive disadvantage in the future. Yet with such a time intensive practice, he was challenged with researching his options and putting a plan in place.

Several meetings and phone calls determined that his needs and my services were a good match. And we respected and enjoyed each other as people.

I laid out a plan and a weekly time commitment for my client that would allow him to keep up with his current obligations and yet dedicate the necessary time to make the right firm decision.

In addition to his desires for continued growth, my client had some unique long-term business challenges because of his client’s occupation and locations. Extensive research and discussions by our team identified that an expansive list of options became narrower yet provided him with ample opportunity. It was imperative that my work set my client up with a firm that met his current challenges but also allowed him to achieve his long-term business vision. Importantly, because of the demands from his business, he did not want to have to start his own firm from scratch.

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One-on-one discussions, education, and calls with prospective firms led us to some very interesting and impressive RIA firms with a turnkey platform delivery. My client met with each firm on multiple occasions. Relationships developed and time in meetings allowed him to select the right platform that met all of his business needs. We identified the right custodian for his clients, selected the firm that allowed him to tuck-in his practice and have the autonomy to run the enterprise, and mapped out a strategy for transition.

The move was exciting for my client, and in turn his client. They were very pleased with the new services the move allowed him to present and they were excited to see that he was continuing his success. I continue to monitor my client’s firm and discuss his long-term vision and have enjoyed watching his achievement.

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