Case Study #2: Formation of Registered Investment Advisory Firm


An experienced advisor made the decision to form his own RIA firm (having left one of the larger independent sponsors). He had a vision for how to differentiate himself but needed assistance in translating his “30,000-foot view” into a practical business.

Action Steps:

The formal aspects of this assignment including:

  • Crafting of Mission Statement and Value Proposition; participating as team member in authoring of web site and hard copy marketing materials; development of email marketing materials
  • Authoring of marketing, referral and recruiting strategies; ghost author of white papers
  • Consulting on investment platform, client questionnaire and formation of an Advisory Board
  • Development of firm launch plan, including social networking and public relations

But as is common in these types of assignments, there were many informal aspects as well. Weekly conference calls were held with the client on a wide range of issues, from operational protocol to manager due diligence to ideas for the blog. AK Advisory Partners in effect became an extension of the staff.


The firm was recently launched successfully with new clients already joining the firm; the firm is on track to meet its first year asset gathering goals. AK Advisory Partners remains as a consultant to the firm on a retainer basis, leading the firm’s marketing efforts and designing its quarterly investment themes.