National RIA/BD Hybrid Rollup firm
Customer is a roll-up of independent brokerage platforms that had, at the time of our engagement, a cohesive advisor technology platform. Still, due to the nature of that platform, Customer had trouble identifying exposure across all of their reps to:
- Specific securities
- Thematic exposures
- Investor types
- Other derived portfolio characteristics and investor attributes
Using the DiFi platform, Customer was able to exceed its oversight and reporting goals, accelerating its acquisitions and onboarding:
- identified key customer communication opportunities by market and security exposure.
- uncovered and remediated regulatory risks pro-actively and efficiently
- connected automated response protocols to the analytics to create long-term, growing value
- segmented its client base more efficiently, enabling them to refine management strategy with greater nuance and confidence and redirect a handful of customer initiatives that would have otherwise reduced margins by tens of millions of dollars per year.