Strategy Basecamp

 

case studies based upon practice experience and industry research

 

  • Technology Diagnostic and Strategic Technology Plan (Vendor Selection, System Integration, IT Roadmap, etc.).  Provided a national independent BD/IA an assessment of their current technology offering. Provided a Gap Analysis comparing the firm to their competitors and also created a short term tactical action plan for the immediate six months.  Managed the vendor selection and due diligence process.  Focus involved integration of numerous systems across the new account establishment, forms population, document management, compliance / supervision, compensation, and performance reporting functions.
  • Managed the Development of an Independent BD/IA (Vendor Selection, System Integration).Assisted in building the operations, technology, and compliance functions of a newly formed BD/IA.  Worked closely with a diversity of vendors (new account establishment, financial planning, CRM, document management, etc.) and partners such as custodians, clearing organizations, and turn key asset management platforms.
  • Assisted a Newly Restructured BD/IA in Selecting Vendors for an Interactive, Online “Dashboard” of Tools and Resources for Advisors. Process involved reviewing various vendors’ products, services and clients. Arranged conference calls and demos for the firm’s stakeholders and provided recommendations customized to the firm’s budget and needs.
  • Managed the Vendor Selection and Implementation of a Compensation System at a National Independent BD.  Worked with a large independent BD to perform due diligence on compensation system vendors and recommend a solution that best integrated with existing systems (such as new account establishment, performance reporting, existing proprietary data systems).  Subsequently managed the customization and implementation of the new compensation system.  Delivered the chosen solution on-time and below budget.
  • Performed the Due Diligence for an Acquisition of an Independent BD/IA. Reviewed business model, synergies, and risks of the target firm and provided feedback/insights on deal terms. Process involved interviewing personnel, reviewing pertinent firm information and discussing strategic integration of the purchase.
  • Assisted Independent Advisor Networks in Selecting BD/IA Partners. Process involved determining the needs from a BD/IA partner for the advisor network, filtering existing universe BD/IA firms for proper fit, evaluating technology platforms, and assisting in the review of the selected firm(s) and assisted as needed in negotiations.

  Case Studies

   Strategy Basecamp has developed deep expertise through  

   25 years of practical application and industry research.   

   See below for an example of specific types of

   engagements completed with our clientele.

 

   BUSINESS PLANNING | PROJECT MANAGEMENT | TECHNOLOGY CONSULTING

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selected organizations served 

 

  • National BD / IA with 400+ Reps / Advisors
  • National BD / IA with 1,200+ Reps / Advisors
  • National BD / IA with 7,500+ Reps / Advisors
  • BD / IA offering Investment Banking Services
  • Start Up National BD / IA
  • Wirehouse / Insurance / Advisory Firm
  • Multinational Bank with an Independent BD
  • Multinational Insurance Firm with Multiple National Independent BDs / IAs
  • National BD / IA with 1,000+ Reps / Advisors

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