Comprehensive consulting for investment advisors, broker-dealers and private funds.

Take Care of the Whole Company

We have significant experience and training at the executive level with helping companies leverage their existing people and resources to move the business forward. Organizations are complex and most of us get very little assistance with the most critical: coaching teams in working better together; managing small annoyances or “rubs” and keeping them from blowing up into something worse; having hard and needed conversations; helping different departments work together effectively.

With over 30 years of experience in this industry, one thing is clear to us: the “soft” stuff matters and this business seems to attract people who are not naturally good at it. That’s OK –we weren’t either, but we learned. And we bring a unique advantage: we get the investment culture. We speak your language and we know how to help you get better at saying and doing what you need to.  

Strategic Planning & Process Improvement

We will work with your team to develop concrete plans that are much more likely to actually be implemented and much more likely to accomplish what you’re looking for.  All companies need ways to efficiently assess where they are and to prioritize change effectively. We know how to do that and how to build it into your culture.

Succession Planning

This is one of the most critical areas for firms to address, and many firms delay making the necessary plans. We help owners and executives identify the real range of options available to them, and then decide where they most want to put their energy and passion. Our focus is on making succession work on your terms. There is no one-size-fits all.  This can be very difficult for owners to address - we know how to deal with thorny issues in ways that make them manageable, and maybe even fun.  Once we help you create a plan, we then help with the implementation. 

Conflict Management

We’ll help mediate existing conflicts, as well as work with staff to get better at doing it themselves. We have a knack for helping people see conflict as a fact of life, not something scary, and to deal with it (mostly) pleasantly and like a grown up. It really is possible!

Communication Skills

People can learn to communicate better. It’s a matter of understanding what works, what’s actually happening, and then practicing. “Communication” may sound squishy, but we help you achieve specific benefits: fewer and more effective meetings; making sure things get done; better quality work product; better customer service; and better working relationships. All told, those mean less turnover, more productivity, and more profit.

Mergers & Acquisitions

We provide in-depth assistance with industry due diligence and work with you to identify whether a particular transaction will likely be successful. We have significant experience sussing out cultural fit, which is one of the most critical elements of a successful business combination.  

Picking the Right Team Members

We help managers engage processes to help them pick the right people for the job, whether new hires or selecting existing employees for a special project or promotion. We also have lots of resources for team-building that use some of the other services we’ve described and assist you in increasing the competence of your staff while simultaneously increasing their job satisfaction.

Silent Partner to the CEO

It’s a fact that the higher you go on the corporate ladder, the less likely people are to tell you the truth. Bringing in a third party mitigates the effects of this and makes sure you get the information you need to lead the company. We’re available to bounce ideas off of, to give you our view of your plans, and to give you tactful but direct feedback about those areas that may be more of a challenge.