Typical Engagement Examples

All of the work I do for clients is customized, but these common engagements serve as a good jumping off point.

Helping firms create or adopt new Impact & ESG Investing strategies.

Typical Client: 50M-1B AUM RIA

Problem: "We know investors want impact investing. How do we successfully move our firm from interest to adoption?"

Solution: Assess your typical processes and investment structures and see how to effectively design and implement an ESG or impact investing strategy in a way that augments your current business.

How: Together we'll assess prospect and client demand and firm readiness for an ESG impact investing solution. I'll help you to design and implement a strategy that works well inside of your existing infrastructure. Once the solution is available, I'll help you to market the solution to existing clients without denigrating your existing business, reach more prospects, and inspire referrals.

Cost: Scaled to business complexity. Starting at $2,000/ month for 2 months

A Three Month Business Refresh for RIAs Ready to Bridge to the Next Level

Typical Client: 50M-250M AUM RIA

Problem: "Our revenues have plateaued and I can't figure out why. There's so much 'business' to take care of, I never get to see my clients. This isn't fun anymore."

Solution: Many RIA firms with between 50M and 250M AUM struggle with these same issues. While the growing business could benefit from a COO, there's not quite enough revenue to justify a COO hire yet. I'll help you to increase the operational efficiency of your RIA so your financial advisors can spend more time with clients, doing they work they love.

How: I'll bring my COO perspective to assess business procedures, current technology, employment roles & people, and marketing practices. During the engagement, I'll hold you and your staff accountable for beginning to institute the recommendations you agree with, so your firm gets the most possible value from our engagement.

After completing this program, some firms opt to engage me on a retainer basis for coaching, accountability, and continuing to make commendations until the firm is able to hire their own COO.

Cost: Starting at $2,500/ month for 3 months

A Two Month Marketing & Branding Program for Growing RIAs

Typical Client: $20M-$150M AUM RIA

Problem: We enjoy helping clients and have grown our business through friends and referrals. We know we need to market to a wider audience but we don't know how. Where should we spend our time and money? Is social media worth the time spent? How do I get in front of prospects?

Solution: Define who you are, who your firm is, and who you serve. Then get in front of your target market and tell your story.

How: We'll do a two hour get-to-know-you and goal setting meeting (in person or via video chat) then four more meetings, with homework for your firm in between each meeting. We'll craft your story, define your target client, figure out how to get in front of them and then make a pragmatic plan that fits your business. For more details, see the full description.

Cost: Starting at $2,750/ month for 2 months


A Six Month Coaching Program to Help Financial Advisors Hone CEO Skills and Mindset

Typical Client: Financial Advisor turned RIA CEO

Problem: I started my career as a financial advisor because I enjoyed serving clients and giving thoughtful, personalized financial advice. My practice was successful and has turned into a sizable business, which means I'm now a CEO with no formal management training. How do I navigate? Can I still spend as much time with my clients? What can I outsource? How do I manage HR issues effectively?

Solution: You can design and build the type of firm you want! I'll help you prioritize what's important and make effective decisions. Most importantly, together we'll  set goals for the firm and help you stay focused on the big picture. 

How: We'll do a half day goal setting and get-to-know-you meeting (in person or via video chat) then a biweekly phone call with accountability (from you), and ideas, resources, and brainstorming (from me). I'll bring my perspective, resources, and network, from being CEO of an RIA and use all of those to help you prioritize and tackle current issues, then help you to envision, design, and build the firm you want.

Cost: Month 1: $1,750; Months 2-6: $1,400 

Additional Retainer Engagement Topics

For ongoing assistance in an advisory capacity, I perform an initial assessment, set goals, help you work through ongoing issues, and keep you accountable so you can reach the goals we set.
Examples of Retainer Topics:

  • Coaching for RIA Executives and Financial Advisors
  • Goal setting/ holding accountable for RIA Executives or Financial Advisors
  • Starting an RIA and/ or leaving the broker/ dealer to go "Fee Only"
  • Broker/ Dealer sale & acquisition guidance
  • Ongoing feedback, guidance, and strategy on rolling out or updating Impact Investing or ESG products

Cost: Starting at $2,000/ month

Additional Project Work Topics

Project engagements are great for assistance with finite tasks that have a definable time frame and scope of work. I'll help you assess a situation, set goals, and keep you accountable so you reach those goals.
Project Topic Examples:

  • Business infrastructure needs assessment for small to mid size RIAs
  • Updating or creating efficient office procedures
  • Curated focus groups for impact investing topics or products
  • Targeted hiring preparation, interview process design, and new hire onboarding guidance

Cost: Starting at $3,000/ project