Financial services
STRATA for RIAs and wealth management practices. The five operating gaps that cost firms recoverable practice value across the book every month.
Platforms at v1: Redtail, Salesforce Financial Services Cloud, Wealthbox, Orion, Black Diamond
The operating gaps
Named in operator language. One paragraph each.
- 01
Compliance documentation burden across CRM, custodian, and trading platforms
Annual ADV updates, books-and-records logging, client-meeting documentation, and pre-trade compliance live across the CRM, the custodian, and the trading platform. Manual stitching costs the practice hours per advisor per week. Document Processing closes the documentation loop without changing the system of record.
- 02
Stalled AI pilots from 2024 and 2025 that never reached production
The pilot for client-meeting summarization, household-deck assembly, or portfolio-monitoring narrative was scoped against the model. The integration into Redtail, Salesforce, or Wealthbox was never funded. The model-versus-work gap is named in the /insights post; the audit calculates what production-grade integration would actually recover.
- 03
Client review preparation compiled by hand
Quarterly review decks pull from portfolio analytics, financial planning software, and the household notes. Advisors and associates assemble by hand. Document Processing and Internal Reporting pre-stage the deck.
- 04
Dormant prospect and referral source re-engagement
The COI list, the prior-prospect pipeline, and the dormant centers-of-influence sit in the CRM with no scheduled cadence. Revenue Recovery against the dormant book produces meetings without net-new BD spend.
- 05
Cross-advisor reporting on AUM, pipeline, and revenue per relationship
Production by advisor, AUM growth attribution, and revenue per household stitch from the CRM, the custodian, and the billing system. Internal Reporting unifies for partner review.
The Revenue Audit
Know your specific number before you commit to anything.
The Revenue Audit for RIAs is a fifteen-minute working session against a CRM export and a recent quarter of household-review data. We calculate recoverable practice value across compliance time reclaimed, client-review preparation, and dormant-prospect re-engagement. The retainer is sized against the figure. Honest no on the call if the figure does not justify.
- A specific dollar figure of recoverable revenue, calculated against your own data.
- A vertical-specific gap diagnosis named in operator language, not marketing language.
- A reference conversation with an operator in your vertical or an adjacent one.
- A retainer sized against the figure, or an honest no on the call.
Insurance, HVAC, and dental are our installation wedges at v1. We accept Revenue Audits in rias and wealth management and run them against the same diagnostic; the engagement timeline is set during the call.
Stack recommendation for RIAs and Wealth Management
Layered in the order that produces the visible ROI event first.
- Layer 1
Document Processing
Compliance and client-review documentation is the largest reclaimable hour cost at most practices.
- Layer 1
Revenue Recovery
Dormant prospect and COI re-engagement against the CRM book.
- Layer 2
Follow-Up Automation
Client-review cadence, prospect nurture, and birthday-and-anniversary touches install on top of the CRM.
- Layer 3
Speed-to-Lead
Inbound referral and website-inquiry routing pairs with the document layer.
- Layer 3
Internal Reporting
AUM, pipeline, and revenue per household in one weekly partner-ready view.
Proof
Across the audits the firm has run, the typical recoverable figure on a $1M to $5M book is $30,000 to $90,000 per year. Your figure is specific to your book.
STRATA is quiet about engagements in flight.
References are matched to your vertical and available on the audit call. Case studies are published when the customer is ready to be named. What we can tell you: the audit call will include a reference conversation with an operator in your vertical or an adjacent one.
Operational questions
What operators ask before the audit call.
What CRM and custodian platforms does STRATA integrate with at v1?+
How is client PII and account data handled?+
We tried an AI pilot in 2024 that did not reach production. Why is STRATA different?+
Does this work for a $200M AUM practice?+
What does the prospect bring to the audit call?+
How the engagement is governed
Three structural promises. All on the record.
The Honest No
If the Revenue Audit shows the recoverable revenue does not justify the retainer, the firm says so on the audit call. STRATA is not the right fit for every business in a vertical, and we name that directly.
The Pause Clause
If the recovered revenue does not exceed the monthly retainer within the first 60 days of deployment, the engagement pauses until the gap is closed.
Month-to-month
The first 90 days of any STRATA engagement is month-to-month. Long-term commitments are earned by operational performance, not signatures.
STRATA for RIAs and Wealth Management
Your recoverable revenue is a specific number.
The Revenue Audit calculates it from your rias and wealth management data in fifteen minutes.
The Pause Clause stands. The Honest No is on the audit call. The first 90 days is month-to-month.