Services

The advisor-facing platform is one of the most consequential technology investments a BD or RIA makes. The firms that get the most out of it share something in common: they treat it as a strategic initiative, not a software project. I help firms define a platform vision, make sound vendor and implementation decisions, and execute modernization work that genuinely improves advisor productivity.

My experience includes leading a digital account opening implementation across a multi-BD environment — integrating platforms including Docupace across CRM, compliance, and back-office operations — with measurable gains in advisor productivity and NIGO reduction.

AI tools for financial advisors are multiplying fast, and most firms are still figuring out how to think about them — not just which tools to try, but how to build an organizational approach to AI that actually works. I help firms at both levels: evaluating and piloting specific tools in a regulated environment, and developing a broader AI strategy that positions the firm to take advantage of what's coming without getting ahead of their compliance and operational readiness.

I have direct experience evaluating AI-powered advisor productivity tools in a live BD/RIA environment, and I've spoken on panels with FINRA staff on vendor due diligence — which is a related discipline that applies here as much as anywhere. For FinTech companies building in this space, I can also offer an honest outside-in perspective: what the buy-side evaluation process actually looks like, and what tends to move firms toward — or away from — adoption.

Most BD/RIA firms manage more vendor relationships than they should, on terms they haven't revisited in years. Vendor strategy — knowing what you need, how to evaluate it, how to negotiate it, and how to manage it once you have it — is a discipline that pays off directly. I help firms rationalize their vendor landscape, conduct rigorous due diligence on new platforms and partners, and structure relationships that actually serve the firm's interests.

I've spoken at multiple FINRA conferences on vendor due diligence and cybersecurity risk management, and I bring that same lens to client engagements.

Cybersecurity is no longer just an IT problem for financial services firms — it's a regulatory and business continuity imperative. I help firms align their security posture with frameworks like NIST 2.0, strengthen vendor risk management practices, and build governance structures that hold up to regulatory scrutiny.

This is practical work grounded in real operational experience — not a compliance checklist.

Many BD/RIA firms find themselves with a technology function that has grown faster than the structure around it — delivery processes that don't scale, planning cycles that don't connect to business priorities, and teams that are busy but not always working on the right things. I help firms design and implement agile operating models that improve delivery predictability, cross-functional alignment, and the firm's overall ability to move.

This work often surfaces opportunities to right-size the vendor portfolio and technology spend at the same time.