Focus Point Solutions RIA Solutions

Advisor Case Studies

FocusPoint helps remove obstacles to satisfying your clients' real needs and wants.

Read and download several case studies about various advisors who partnered with FocusPoint to design solutions to address their unique needs.

Case Studies

Case Study 1

Breakaway Advisor Seeking a Lifestyle Practice

Breakaway Advisor Seeking a Lifestyle Practice

Advisor was managing approximately $35 million across 350 households, and affiliated with an independent B/D. He came to FocusPoint to learn more while considering selling his business. Advisor’s wife was working part-time as an assistant, and he had another employee doing the same thing.

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Case Study 2

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

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.

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Case Study 3

Emerging Advisor Seeking Significant Growth, Minimal Staff, and a Solid Succession Plan

Emerging Advisor Seeking Significant Growth, Minimal Staff, and a Solid Succession Plan

Advisor was managing approximately $15 million with limited to no staff. He was very clear about his goals, which included growing his business to $100 million+ by marketing to and gaining a significant amount of physician and small business owner client relationships.

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Case Study 4

Existing RIA Seeking to Grow to $1 Billion by Adding IARs and Outsourcing All Back Office/Investment Management

Existing RIA Seeking to Grow to $1 Billion by Adding IARs and Outsourcing All Back Office/Investment Management

Advisor and his partner were managing approximately $120 million for clients. While they were relatively comfortable with their investment process, the firm had recently come across and researched a new mutual fund investment strategy and signal provider.

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Case Study 5

Existing Hybrid RIA Seeking to Streamline Business Via Outsourcing Back Office and Portfolio Implementation

Existing Hybrid RIA Seeking to Streamline Business Via Outsourcing Back Office and Portfolio Implementation

Highly successful, efficient, hybrid RIA firm managing $150 million of mostly fee-based business across two principal advisors, was interested in 2-3 times growth without needing to add staff in the near future. The founding principal was planning to retire in the next 3-5 years and was ready to begin phasing a younger advisor into the primary role with all clients.

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Case Study 6

Existing Solo RIA Seeking Quality of Life and Growth without Staff

Existing Solo RIA Seeking Quality of Life and Growth without Staff

Advisor was managing $34 million in approximately 150 accounts. As a fee-only sole practitioner with his own RIA, he was doing everything—including managing assets, performance reporting, daily reconciliation, quarterly fee calculation and billing, document storage, and technology upkeep—on his own. Advisor recognized he was spending way too much time in the day-to-day minutiae of his business and not with his clients.

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Advisor Interviews

Advisor #1

Advisor #1

Fee-only sole practitioner

Goal: Retain 1/3 of clients while creating a more balanced lifestyle and generating the same revenue.

Read Advisor #1 Interview

Advisor #2

Advisor #2

Fee-only sole practitioner

Goal: To provide a high level or service and get systems in place for growth without staff.

Read Advisor #2 Interview

What Our Advisors are Saying

Advisor Comments
“Because of my systems and support, I feel confident I’ll be able to add another 100-125 relationships without needing to add staff.”

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