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

Workflow Analysis and Feedback

We will evaluate the processes you’re currently using in a number of areas -client service, safekeeping of customer assets, accounting controls, making sure you’re avoiding “custody”–and give you concrete suggestions for improvement.

Project Management and Implementation

Audit support; onboarding new financial consultants and assisting with the transfer process; setting up new offices; lending a knowledgeable hand when you’re in the thick of it.

Training for Operations Staff and Supervisors

We are able to provide additional training and coaching for front-line staff, but are most useful when helping supervisors get better at (1) effective oversight and delegation; (2) giving useful feedback; (3) and dealing with the day-to-day little conflicts that will grow bigger if not dealt with promptly and well.