by Matt Sonnen | Feb 24, 2022 | Operations and Technology
Don’t be gaslit into believing that operations should take a subordinate role to sales and relationship management. As many of our loyal listeners know, one of my favorite topics to discuss on our COO Roundtable podcast each month is the unfortunately...
by Matt Sonnen | Feb 1, 2022 | Operations and Technology
I think we all will remember March 17, 2020, and the fear it brought for all of our businesses. Would the market hold up? Would our employees be able to service clients while working from home? Jump ahead to today, and who would have predicted that practically...
by Matt Sonnen | Jan 25, 2022 | Operations and Technology
It seems that every RIA reported record growth in both 2020 and 2021, and accordingly, every RIA is looking to add members to their team to help support the additional clients. Many firms are seeking service advisors to handle client relationships, as well as...
by Matt Sonnen | Dec 7, 2021 | Operations and Technology
Collaboration between compliance and operations is key. When PFI Advisors is hired to perform an Operational Diagnostic of an RIA, one of the important components of our assessment is a review of the firm’s compliance manual to ensure it matches what is truly...
by Matt Sonnen | Nov 17, 2021 | M&A
Like with any relationship, it’s important to have those uncomfortable conversations early. We have previously written about the trials and tribulations of RIAs looking to merge businesses in the wake of an M&A transaction. In our experience, buyers and sellers...
