Overstaffed Hybrid RIA with Compliance Concerns, Seeking to Streamline Processes and Increase Profitability
Overstaffed Hybrid RIA with Compliance Concerns, Seeking to Streamline Processes and Increase Profitability
2 PagesCase Study 2: Overstaffed Hybrid RIA with Compliance Concerns, Seeking to Streamline Processes and Increase Profitability Advisory firm with an independent B/D affiliation was managing approximately $280 million across 6 advisors. The firm found FocusPoint as they were seeking ways to significantly streamline and transition their business. Approximately 50% of the firm’s business was in commission accounts. Advisors had client ass
