"Corporate America's best kept secret"

- Brian Nygaard - Former President, ING Broker Network

Success Stories


See how we have been able to help clients just like you become world class organizations, no matter the size!


Losing Advisors?

The president of a large broker/dealer had a problem.  One of his largest regional managers was about to leave the B/D and take other advisors with him to the tune of the loss of an eight figure Gross Dealer Concession.


Having less than 6 weeks to build a strategy, Vestment Advisors

  • Created and conducted a multi-day workshop
  • Interviewed all advisors in that region
  • Scheduled 10 SWOOP Reports, one for each advisor’s practice
  • Conducted on-site SWOOPs within four months and
  • Saved EVERY advisor outside of the regional manager and his marginal personal production.



Succession is Never Easy

The largest producing advisor in a BD (over $8 mm individually, over $15 mm including other advisors in the group) was facing a challenge in succession.  This advisor was (naturally) highly respected, and was a successful businessman in addition to being a great financial advisor.  What could be done?


Peter and Katherine

  • Conducted an on-site review
  • Interviewed all of the advisors, staff and team
  • Generated a SWOOP Report
  • Changed the organizational structure
  • Modified/enhances job descriptions and responsibilities
  • Coached the principle and his successor on the process
  • Monitored the transition with monthly calls


Results? A successful new head of the practice with both the principles happy with the transition; all in less than 8 months!



Acquisition Woes

A large B/D had been acquired and a unique group vertical market group of their advisors had been static in production for some time.


Katherine and Peter

  • Worked directly with the top 12 producers
  • Conducted workshops on
    • Sales
    • Human resources
    • Organizational development
    • Workflow efficiency
    • Fiscal and Asset Management of the practice
  • Build customized marketing strategies for each of the practices
  • Ran a SWOOP on each practice
  • Held a series of coaching calls following the formal activities.


Growth in the group proved significant (averaging over 40%) despite the worst of economic times in the stock market over the past 15 years!


Trapped at a Low Production Ceiling

An individual advisor had been stuck at approximately $300,000 in annual GDC for years.


At the request of their B/D over a two year period, Katherine and Peter

  • Conducted a “mini SWOOP”
  • Built a long-term relationship with the advisor
  • Spent an average of four days per month on the advisor’s site
  • Re-organized the management team
  • Helped close out the previous owner from the existing succession plan
  • Facilitated the monthly “executive management meetings”
  • Established a VP/GM to run the day to day operations
  • Trained them Acquisition/Merger
  • Assisted them in an Acquisition
  • Trained on and ran the annual Strategic Planning Meetings
  • Mentored the executive team through group and private coaching calls


The results?  Within 2 years the advisor had become the #1 producer in the B/D.  Profitability quadrupled.  The advisor was set free to do what he did best, and delegate what he did not to very competent team members.  They learned how to expand the practice through acquisition/mergers without outside help.


Trapped at a High Production Ceiling

Vestment Advisors was asked to help a million dollar producer in a prosperous metropolitan area.  The practice had been unable to break through a performance ceiling they had been trapped at for nearly a decade.


Within 7 months, Peter and Katherine

  • Conducted a SWOOP
  • Repositioned staff in the practice to make sure “the right people were in the right seat on the bus…”
  • Trained the practice on a better way to build comprehensive financial plans
  • Trained the advisors on more effective referral strategies
  • Conducted monthly coaching calls
  • Provided unlimited “spot” calls
  • Spent an average of 2 days per month on site in the practice
  • Built a succession plan that included his partner and his son


At the final meeting, the advisor brought himself and 9 employees a long distance to Minneapolis for the summary report on Vestment’s findings.  The advisors team