Top 5 Lessons Learned from Episodes 6-10 of The COO Roundtable

November 4, 2019

With ten episodes now under our belt, we’d like to once again thank everyone who has listened, subscribed, and given feedback on The COO Roundtable. We’ve enjoyed having these discussions and hearing your responses on them.  Our interviews to date have included fourteen operations professionals at twelve multi-billion dollar RIAs across the country accounting for…

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Jay Veale and Sandra Saldana Join PFI Advisors

November 1, 2019

We are excited to announce the addition of Jay Veale and Sandra Saldana to the PFI team! Jay recently graduated from the University of California, Berkeley with degrees in Political Economy and Film Studies.  Previously, Jay interned at CWSWG, a real estate investment firm in Newport Beach where he performed bond and real estate market…

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High Tech vs. High Touch: What Are Clients Really Asking For?

October 18, 2019

Technology isn’t developed to replace human interaction, but rather to enhance it. At the Envestnet conference this past May, the late Jud Bergman was asked about his thoughts around technology’s place in our industry. He astutely concluded, “It’s counter-intuitive that [by building a digital connection with the client] great technology can contribute to a stronger human…

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The COO Roundtable, Episode 10 Highlights

October 10, 2019

In the tenth episode of The COO Roundtable, Matt takes some time to reflect on some of the highlights and biggest takeaways from the nine content-packed episodes we’ve produced so far and he even finds time to squeeze in a Princess Bride reference!  By focusing on all the unique perspectives that our guests bring to…

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The Fear of Change, Part 3: The Emotions of Breaking Away

October 7, 2019

The Fear of Change: A 3-Part Series for RIAs As the RIA industry matures, consolidates, grows, and evolves, many of our clients contemplate M&A transactions, changing their technologies or workflows, or they may strive to break away from their current employer to build their own RIA.  We focus our attention on building and improving the…

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The Fear of Change, Part 2: The Emotions of New Technology

October 1, 2019

The Fear of Change: A 3-Part Series for RIAs As the RIA industry matures, consolidates, grows, and evolves, many of our clients contemplate M&A transactions, changing their technologies or workflows, or they may strive to break away from their current employer to build their own RIA.  We focus our attention on building and improving the…

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The Fear of Change, Part 1: The Emotions of an M&A Transaction

September 27, 2019

The Fear of Change: A 3-Part Series for RIAs As the RIA industry matures, consolidates, grows, and evolves, many of our clients contemplate M&A transactions, changing their technologies or workflows, or they may strive to break away from their current employer to build their own RIA.  We focus our attention on building and improving the…

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Video: PFI Advisors’ Take on the Breakaway Advisor Movement…

September 25, 2019

PFI Advisors is often asked our opinion of the breakaway advisor movement.  Given our line of work, our answer may surprise you…

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New RIA COO? How to Prepare for Success on Day 1

September 17, 2019

In the eighth episode of The COO Roundtable, featuring David Canter and Scott Slater of Fidelity Clearing & Custody Solutions, we talked about an uncomfortable but extremely important topic: how and why COOs often fail in their role at RIAs.  We’ve previously written about this unfortunate phenomenon on our blog, but with David and Scott’s…

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The COO Roundtable, Episode 9 Featuring Susan Dickson & Suzanne Williamson

September 5, 2019

In the ninth episode of The COO Roundtable, Matt welcomed Susan Dickson and Suzanne Williamson, principals of Private Ocean.  Susan is the Chief Operating Officer of the firm, and Suzanne is the Director of Client Services.  Private Ocean, headquartered in San Rafael, CA, manages over $2 billion in client assets with 51 employees and has…

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