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Project Description

My client’s broker-dealer had grown extremely large over the 9 years he had been with the firm. The back office services had become inconsistent, fees were expensive, and marketing limitations made growing his business a challenge. He had reached a tipping point where the relationship appeared irretrievably broken.

He came to me to express his frustrations with the firm. Through a lengthy about industry challenges as a whole, we identified specific criteria important to him that he felt would not be satisfied at his current firm.

Understanding his business and his long-term objectives, I created a list of firms that had elements of resolution for his problems. We systematically worked through his firm options by asking questions and gathering statistics from each firm. Next came more in-depth discussions, platform demonstrations, and a thorough business and product comparison. Home office visits helped my client make a decision as to his ultimate broker-dealer firm.

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With the major decision out of the way, the work began. A transition plan was put in place by the broker-dealer and reviewed by my client and myself. We negotiated the services that work imperative for a smooth transition and set a date. Through careful planning and excellent office management, my client was awarded by his new firm, and recognized for his seamless transition and record execution time.

His firm has grown substantially since moving broker-dealers. His personal production has grown, the competitive advantages the new broker-dealer gave him has allowed him to recruit advisors into his firm and even to buy several practices.

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