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“Tom and I have worked together on a number of mutual client relationships over the past 4 years, where Tom served in a consulting role. I have heard Tom speak at conferences and have seen the output of his financial services consulting work, and on both points, Tom is a highly credible expert in his field. He is particularly strong in the area of compensation and I recommended him today to a large regional bank, which needs access to such expertise. Tom is an excellent speaker and communicator and I'd recommend him to any financial institution seeking an objective consulting partner."

—Dick Trumpler
Managing Director
New York Private Bank and Trust

Organizational Assessment and Best Practices

Why This is Important to You

The economic outlook facing financial institutions remains among the most challenging and tumultuous in the history of banking. Deteriorating asset quality, disagreeable yield curves, regulatory landmines and sharply dampened sources for generating fee income have resulted in a need for banks and credit unions to optimize those remaining fee-generating businesses, such as wealth management.

Now is the time to review the efficiency of your wealth management offering, including assessing staffing levels, processes, vendor relationships, technologies and pricing to create a foundation for controlled and profitable growth for the future. It is essential that before you decide where you are going, that you know where you are.

Pinpointing your strengths, opportunities and competitive standing is a critical first step in developing a world-class wealth management platform. And, while you may feel that you have a good handle on the day-to-day workings of your business, you also recognize the challenge of keeping up with the dizzying pace in which our dynamic industry spawns innovation and change. The question becomes how do you know what you don’t know?

How We Work With You

We work diligently and efficiently to understand your culture, values, delivery systems, processes and people, so we can begin to identify opportunity gaps in your offering. The work we do with financial institutions of all sizes, from throughout the country, coupled with our research, best practices and specialized knowledge provide you with the resources you need to ensure your wealth management offering is current, valuable and relevant, to your clients and staff. In this step, we explore all of the vital touch points that define your business.

Your Organizational Assessment will provide you with a thorough examination of where you are now and with strategic and tactical recommendations on specific steps you can take to advance to higher levels of achievement. These steps include:

  • Developing a Performance Scorecard which measures your success against your peers and sizes your opportunities
  • A prioritized list of key initiatives including identification of resources needed, a timeline and projected payoff
  • A roadmap of process improvements designed to enhance efficiencies in the  operation of your business
  • Product and services menu review and recommendations
  • Vendor review and recommendations
  • “Quick hits”  for fast and easy improvements identified throughout the assessment.

What This Means For You

  • Improved quality and consistency in sales and service delivery
  • Reduced operating expenses as a percentage of assets under management and fees/commissions
  • The ability to scale the business through improved processes and productivity without future cost increases
  • A foundation for controlled growth with clearly prioritized initiatives and next steps.

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 decades 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.



Anita Gentle Newcomb

Anita Gentle Newcomb, Consulting Associate
Financial Institutions Strategic Planning Expert
Director, Federal Reserve Board, Baltimore/ Richmond Branch

Learn more about Anita and how her decades of experience developing strategic plans for banks can help you.


Henry Moreault, Wealth Industry Advisor

Henry D. Morneault, Consulting Associate
Operations Strategist and Transition Expert

Learn more about Henry and how his two decades of specialized knowledge 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 for reducing costs, increasing revenue and staying 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 victory and defeat is a direct result of the decisions you make. Learn more about our firm and how we help financial institutions like yours optimize results in the delivery of wealth management products and services.

Who We Have Helped

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

Where You Begin