Case Study

Growing RIA Needs Tailored Investment Solutions

DELIVERING INVESTMENT SUPPORT

This fast-moving independent RIA knew it needed a TAMP to enable the efficiency required to scale alongside their expanding client base. They turned to GeoWealth for outsourced investment management and due diligence, and more streamlined playbooks per client type.

CLIENT PROFILE

A quickly expanding RIA with $60 million in fee-based AUM breaking away from a legacy broker-dealer and in search of TAMP to deliver custom investment solutions.

This RIA was seeking to rapidly scale their business by outsourcing certain processes for serving their client base ranging from Mass Affluent to High Net Worth.

Pain Points

    Scale: Struggling to scale due to the many complex investment programs they needed to create.

    Due Diligence: Lacking the time and resources needed to create a consistent framework for due diligence and standard asset allocations by client profile.

    Overcomplexity: Burdened by a high number of third-party SMA and UMA models in the marketplace with a lack of resources to run comprehensive analysis on the universe.

    Client Segmentation Issues: Seeking creative ways to engage the “next generation” of clients – either children of existing client or high-earning young people seeking financial advice.

    Our Solutions

      Personalized Marketplace: GeoWealth created a custom-tailored model marketplace of third-party models ideal for their client base. We handle the due diligence on the models and provide marketing materials and commentary.

      White-labeled UMAs: Delivered white-labeled, risk-based UMA suites crafted by our Investment Solutions Team to cover key asset classes and strategies.

      Playbooks: Together, we defined a client framework to have set playbooks for Mass Affluent vs Next Gen Clients, meaning advisors can immediately deliver appropriate risk-based models based on client AUM size.

      The Outcome

      By partnering with GeoWealth, this client found efficiency, standardization, and time savings:

      Reduced Unneeded Complexity: GeoWealth was able to help this RIA standardize investment solutions for multiple investor profiles, reducing the burden on advisors to design one-off solutions.

      Improved outcomes: Trusting due diligence to GeoWealth’s experienced Investment Solutions team yields better constructed portfolios and great consistency across the client base.

      Client Focus: By outsourcing key processes to GeoWealth, this RIA’s advisors are able to focus on more clients each day, facilitating stickier relationships.

      Time Savings: Advisors gained bandwidth to focus on financial planning and firm growth, while trusting the day-to-day investment needs of their clients to GeoWealth.

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      “Our ability to curate a third-party model marketplace and deliver white-labeled UMA suites allowed this RIA to go to market with a custom branded solutions without adding any burden to their internal team.

      – Jen Wing, GeoWealth’s Head of Investment Solutions

      This case study is provided for illustrative purposes only and is meant to provide an example of GeoWealth’s process and methodology. There can be no assurance that GeoWealth will be able to achieve similar results in comparable situations. No portion of this case study is to be interpreted as a testimonial or endorsement of GeoWealth’s investment advisory services.

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