The operating gaps

Named in operator language. One paragraph each.

1. 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.

2. 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.

3. 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.

4. 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.

5. 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.

1. 01A specific dollar figure of recoverable revenue, calculated against your own data.
2. 02A vertical-specific gap diagnosis named in operator language, not marketing language.
3. 03A reference conversation with an operator in your vertical or an adjacent one.
4. 04A 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.

1. Layer 1

   Document Processing

   Compliance and client-review documentation is the largest reclaimable hour cost at most practices.

2. Layer 1

   Revenue Recovery

   Dormant prospect and COI re-engagement against the CRM book.

3. Layer 2

   Follow-Up Automation

   Client-review cadence, prospect nurture, and birthday-and-anniversary touches install on top of the CRM.

4. Layer 3

   Speed-to-Lead

   Inbound referral and website-inquiry routing pairs with the document layer.

5. 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.