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"Tom has built up a great deal of experience and intellectual capital which I have seen him leverage to empower organizations to prosper and grow. His 20 years of service as a program manager in institutions of all sizes allow him to provide thought leadership around strategic development as well as tactical execution issues. If you are looking to transition your program to the next level, I recommend you make use of his services."

—Dan Arnold
Managing Director and Divisional President
LPL Financial Institution Services

Broker Dealers and Third Party Marketers

Why This is Important to You

Margins are thin, competition fierce. The opportunity for growth, never so great and never so important.

Maybe you drank the Kool-Aid and believe you are the best solution. There’s nothing wrong with that, in fact that passion and confidence is part of what makes you successful. But, are all of your solutions the best? How do you know?

And what about your clients? How do they perceive you and what value do really add? Can you really be all things to all people with such thin margins?

Let’s not forget about Compliance. Government’s the new wildcard and it appears the ante is going to be steep, stretching those margins even thinner.

We know there is a lot more to it than just payout; but how do advisors discern between firms that offers “great service” and “great technology”.

How We Work With You

Our team collaborates with your team and your clients adding an experienced, objective voice to those conversations, which shape the strategies and tactics that define your firm.

Some of the ways we help broker-dealers and TPMs include:

Competitive Intelligence

Primary & Secondary Research

Compensation Plan Design & Review

Advisor / Practice Acquisition

Strategic Planning

RFP Response Analysis & Recommendations

Compliance Review & Mock Audits

Business Development Acceleration

Project Management

Advisory Platform & Products Analysis

Performance Assessment

Training & Resource Development

 

 

 

 

 

 

 

 

 

 

 

Helping your clients with needs that transcend the ordinary scope of what you do from a time, resource and/or expertise standpoint deepens your relationships. When our services, add revenue, increase efficiencies, reduce risks and create competitive distinction everyone wins.

We also have a team of certified career and life coaches with practical experience working with wealth management professionals. Find out how our coaches might increase your ability to acquire more of those advisors considering independence and secure the assets of those advisors leaving the business.

Click the appropriate link for a complete list of services we provide to our two broker-dealer related constituencies:

Broker dealers working directly with financial advisors

TPMs working with financial institutions

Be sure also to see how our consultants and coaches can help you with:

Transitioning Financial Advisors

What This Means For You

You gain business clarity from working with an objective source of information helping you sharpen your competitive edge

  • You reap the rewards associated with enhancing your image as a value-added provider
  • You enjoy another competitive distinction which enhances your business development and client retention success
  • You realize the rewards associated with increasing your client revenues, which in turn increases yours
  • You reduce every day stress levels by increasing client satisfaction
  • You enjoy the benefits associated with deepening client relationships
  • You bolster your confidence by knowing you have an objective resource that can interact with candor and directness not affected by an internal corporate relationships or politics.

Who Will Help You

Kane Carlton is a consortium of the best and brightest talent in the wealth management industry. This confederation of seasoned professionals combines well over a century of practical experience in highly specialized disciplines with a no-nonsense, innovative, results driven focus with a singular mission - to help you.

Tom Kane

Thomas C. Kane, Founder and Chief Transformation Strategist

Learn more about Tom and how his 35 years of practical experience in financial services can help you.

 

 

Why Kane Carlton

We help our wealth management clients make informed decisions by providing them with research, competitive intelligence, best practices and innovative, objective solutions to reduce costs, increase revenue and stay competitive.

Yet, unlike pure consulting, we pride ourselves on being on the field and in the game with you, focusing on implementing the work product we create.

We understand that the thin line separating a thriving franchise from a failed business is a combination of the decisions you make. So make your first decision the right decision -- decide Kane Carlton.

Learn more about our firm and how we help companies like yours optimize results in the delivery of wealth management products and services.

Who We Have Helped

See a partial list of firms like yours that we have helped.

Where You Begin