Practice Management

Risk Mitigation

  • CCO is a licensed attorney
  • Draft compliance alerts on topics that are directly relevant to advisors
  • Offer recommendations for managing the risk of litigation
  • Help ensure firm maintains reasonable level of insurance/bonding protection

Back Office Support

  • Daily file download of transactions, new accounts, and share and cost basis recon
  • Process/ reconcile corporate actions
  • Weekly and monthly validation reports
  • Generate quarterly statements, including mail or post to client electronic portal
  • Calculate invoices, pull fees with custodian, and reconcile

Client Communications

  • Monthly Investment Policy Committee Meeting Notes
  • Quarterly Economic Newsletter discussing outlook and strategy
  • Quarterly Economic Webinar with Q&A
  • Client Communiqués as market conditions dictate

Collaboration – Best Practice Meetings

  • Work collaboratively with your industry peers sharing information
  • Pre-conference meetings that help make the entire trip worthwhile
  • Regularly scheduled offsite meetings with industry leaders
  • Conference calls to provide feedback into products and processes

Retirement Plan Specialists

  • Serve as subject matter professionals on applicable regulations
  • Stay abreast or DOL, IRS, SEC, and FINRA regulatory initiatives
  • Participate in industry and regulatory conferences
  • Provide advisor alerts on topics that are directly relevant to our business
  • Facilitate sharing of best practices between branches

Advisor Onboarding

  • Dedicated resource to help ensure your transition to RIA is seamless
  • Assistance with custodian selection
  • Assistance guiding you through custodian transition
  • Technology workflow support

Acquisitions

  • Dedicated resource to help ensure your transition to RIA is seamless
  • Assistance with custodian selection
  • Assistance guiding you through custodian transition
  • Technology workflow support

Business Transition / Succession Planning

  • Recruiting assistance to attract talent
  • Business continuity planning just in case …
  • Succession planning
  • Liquidity event scenarios