Wealth Management & RIA Aggregators · MARGIN
Advisor Capacity & Service Operations.
More of every advisor's week spent with clients, a lower cost to serve each household and, at broker-dealers, a lower supervision cost per rep, by redesigning preparation, service requests, money movement and supervisory review around the advisor.
The problem this solves
- Advisors and associates spending hours on meeting prep, paperwork and follow-up
- Service requests and money movement handled through email and hand-offs
- Operations headcount growing in step with assets
What we measure
- Advisor hours in client meetings per week
- Households per advisor and per operations FTE
- NIGO rate and service-request cycle time
- Cost to serve per household
- Supervision workflow cost per registered rep
Every program starts by baselining these numbers in your systems. Results are reported against your baseline, not against industry averages.
The playbook
01
Meeting preparation and follow-through
Review packets assembled from CRM, planning and custodial data before the meeting. Afterward, tasks, service requests and CRM updates are drafted for advisor approval and retained under your books-and-records policy.
02
Service desk redesign
Requests triaged, routed and tracked in one queue, with document intake, NIGO checks and client status updates automated, and a named person accountable for every exception.
03
Money movement, maintenance and supervision
Distributions, transfers, standing instructions and beneficiary changes processed through standard checklists that cut rework. Branch and OSJ supervisory reviews routed, evidenced and retained in one workflow under your written supervisory procedures.
The market context, in published numbers
27%
year-over-year increase in RIA M&A deal volume in 2025, a record year and the fastest annual acceleration of transaction activity since 2021, with the buyer universe expanding on renewed sponsor confidence and platform investments
ECHELON Partners, 2025 RIA M&A Deal Report (ECHELON press release) (2026)
37.4%
of US financial advisors, holding 41.4% of industry assets, are expected to retire over the next decade
90,000–110,000
projected shortfall of financial advisors in US wealth management by 2034 at current productivity levels, equal to 30 to 37 percent of current headcount
McKinsey & Company, “The looming advisor shortage in US wealth management” (2025)
24% vs 17%
share of working time that top-performing financial advisors spend in client meetings, compared with typical peers (Kitces Research Advisor Productivity study, survey data gathered in 2024, published September 2025)
Kitces Research, “The 4 Key Drivers of Advisor Productivity” (Kitces.com) (2025)
87%
more new clients added in 2025 by RIAs with an ideal client persona, a client value proposition and a written marketing plan, compared with other firms (self-reported data from Schwab-custodied firms)
Figures are third-party market benchmarks from the cited sources, not Ometz Partners client results. We share them so you can size the problem before we ever talk.
Capabilities
What the Operations Performance program covers.
Process measurement and redesign
Process mapping, work sampling and system logs to find where time, cost and errors accumulate, followed by a redesigned flow with clear ownership.
Order-to-cash and procure-to-pay
Emailed and PDF purchase orders read into the ERP, invoice matching, deduction and chargeback research, and collections prioritized by risk and value.
Revenue cycle operations
Eligibility, authorization preparation, claim edits and denial work queues for care providers, with root causes fed back to scheduling and intake.
S&OP and planning
A monthly sales and operations planning cycle with demand signals, capacity, inventory and service levels in one view, so plans hold between meetings.
Quality and regulatory documentation
Drafting and assembly of deviations, CAPA records, certificates of analysis, safety data sheets and specifications for review. Your Quality Unit reviews, approves and signs every GMP record.
Financial-services operations
Account opening and transfer paperwork, advisor onboarding files, fee billing and reconciliation, tax and audit engagement preparation, and alert-review preparation, with every decision left to your operations, principal and compliance staff.
Close, reconciliation and reporting
Month-end close tasks, reconciliations and management reports assembled automatically and checked against your controls.
Also in the Wealth Management & RIA Aggregators program
VALUE CAPTURE
Acquired-Firm & Advisor Transition Program
A repeatable playbook that moves each acquired firm, or each advisor team a broker-dealer recruits, onto the platform's custodial, CRM, data and service standards, keeps advisors and households through the transition, and delivers the synergies in the deal model or the recruiting case.
REVENUE
Organic Growth Program
Net new assets run as a managed process: defined client segments, referral and center-of-influence programs, and well-timed conversations with existing households, with marketing built to clear compliance review the first time.
Next step
Size this opportunity in your own numbers.
The Performance Diagnostic runs for two to four weeks at a fixed fee and ends with a baseline, three priced improvement plays and a 90-day plan. The findings are yours whether or not we continue.