Case Studies - Project Successes

Digital Advice and Integration



This NYC based $3.5 Billion RIA / Asset Manager was looking to take its business to the next level. 

We helped in the following ways:

  • Defined a Digital Advice solution that was both tactical and strategic
  • Selected and implemented the solution, coordinating project work and integrations with the Clearing Firm, the Wealth Management Platform provider and the RIA.
  • Worked on the Corporate Technology Integration with a publicly held Regional Bank that acquired the NYC RIA

Strategy, Architecture and Project Implementation


The $6 Billion Market Cap Publicly held Bank needed subject matter expertise implementing the NYC RIA’s Digital Advice solution for its own Financial Advisors

  • Worked on the Business Case and Solution Evaluation as a precursor to moving forward
  • Developed the overall Plan, end to end for the solution
  • Created Architecture blueprints for the Plan
  • Created User and Technical Documentation
  • Faced off with Senior Leaders at the Bank’s Broker Dealer, the Clearing Firm and Platform Provider, driving rapid and effective implementation and adoption

Data Analysis and Documentation



The fast growing New York Broker Dealer / RIA needed to take stock of it’s Technology Assets as it continued on it’s independent journey

  • Developed a Logical View diagram that included all of the Firms Applications and Databases
  • Created an Application Inventory of all of the Firms Technology Assets
  • Documented their Data Aggregation integrations with nearly 20 partner providers
  • Created an Opportunities document, making both tactical and strategy improvements relating to Data Aggregation, Business Intelligence, the Technology Stack and more

Services - Partial List


Technology Strategy

Project Work

Current State

Digital Advice

Application Inventory

M & A Due Diligence

Assessment / Recommendations

Logical View Diagram

Integration Projects


IT Organizational Structure

Data Analysis

Contract Assessments

Solution Evaluation