PFI Advisors White Paper: Fixed Income Solutions in the RIA Industry for Breakaway Advisors

May 22, 2019

We announced today the release of a new industry report (the seventh in our continuing educational series) on the increasing number of fixed income solutions available to RIAs in the Independent channel.  Our research details institutional-caliber fixed income trading solutions available to independent advisors, profiling three firms that enable RIAs to access this asset class…

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Top 5 Lessons Learned from Episodes 1-5 of The COO Roundtable

May 7, 2019

We’d like thank everyone who has listened, subscribed, and given feedback on The COO Roundtable thus far.  We’ve really enjoyed conducting these interviews and hearing all your reactions.  Our interviews to date have included ten operations professionals at nine multibillion-dollar RIAs across the country accounting for over $30 billion in client assets under management.  With…

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The COO Roundtable, Episode 5 Featuring Heather Fortner & Lucas Winthrop

May 1, 2019

In the fifth episode of The COO Roundtable, host Matt Sonnen was thrilled to sit down with Heather Fortner of SignatureFD and Lucas Winthrop of Winthrop Wealth Management.  SignatureFD, headquartered in Atlanta, Georgia, currently manages approximately $3.5 billion in client assets with over 80 employees. Winthrop Wealth Management, located in Boston, Massachusetts, manages about $1.1…

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Book Review: The Financial Advisor M&A Guidebook

April 24, 2019

PFI Advisors has written a lot around the operational side of M&A, and how important it is for firms to think through not only deal structure and valuation, but the planning process around integrating the two firms into one cohesive company once the deal closes.  As Chris Voss, former FBI hostage negotiator states in his…

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Why is an Ops & Tech Consultant Writing About Client Segmentation?

April 16, 2019

Anders Jones of Facet Wealth recently wrote that as RIAs approach the elusive $1 billion AUM milestone, they need to be increasingly cognizant of their profit margins and resources needed to service their clients.  The goal of any RIA is to provide high-touch service to an ever-expanding client base.  RIA owners will achieve this goal…

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The 3 Most Common Technology Headaches RIAs Face

April 8, 2019

Technology reporter Ryan Neal’s recent article offered a refreshing (and interesting) perspective of problems RIAs often face with their technology suite of systems.  He provided an entertaining spin on this common challenge for firms, likening popular Netflix star Marie Kondo’s philosophy of cleaning house to revising an RIA’s technology infrastructure.  As operations and technology consultants,…

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The COO Roundtable, Episode 4 Featuring Tom Harms & Stacey McKinnon

April 1, 2019

In the fourth episode of our podcast, The COO Roundtable, Matt sat down with Tom Harms of Summit Trail Advisors and Stacey McKinnon of Morton Capital Management.  Summit Trail Advisors manages about $5.2 billion in client assets across five office locations: New York City, Chicago, San Francisco, Boston, and Washington D.C.  Morton Capital Management, located…

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5 Building Blocks to Becoming a Successful Buyer

March 22, 2019

There are more than 12,000 SEC-registered investment advisors[1] in the United States trying to differentiate and grow their businesses across the competitive and fragmented RIA space – a veritable Wild West of firms at the forefront of change. RIAs are not only competing with each other but also the deep pockets, expansive advisor networks and sophisticated…

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Why Professional Management Fails for RIAs

March 17, 2019

We have written much about the benefits of professional management for RIAs.  By bringing in professional management, the owners/advisors of the firm are availed of the day-to-day burdens of running the business, which allows them to focus 100% of their efforts on what they do best: spending time with clients and prospects (or other advisors,…

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The COO Roundtable, Episode 3 Featuring Trevor Chuna & Shaun Kapusinski

March 4, 2019

In the third episode of our podcast, The COO Roundtable, Matt was thrilled to sit down with Trevor Chuna and Shaun Kapusinski of Sequoia Financial Group, an RIA in Akron, OH managing over $4 billion.  Trevor, also featured in our latest White Paper, is the Chief Technology Officer and Shaun is the Director of Technology…

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