Operational Strategy for a Growing Firm



A Small/SMID-cap manager with a 20-year history, small employee base, and just over $2B AUM, wanted transparent and effective systems that could support expected growth and shifting regulatory and institutional client expectations.

However, the firm knew that in order to execute on any future initiatives, it would need to strengthen its internal communication, consistency, and credibility.


We reconsidered current business processes in light of expected growth and regulatory leading practices and assessed areas of talent and operational capacity. Then we:

  1. Developed and implemented internal governance processes that drove accountability, transparency, and efficient knowledge transfer;
  2. Remapped scalable workflows in operations, accounting, trading, marketing/client service and compliance to more effectively utilize talent and limited resources;
  3. Introduced technology solutions to reallocate workflow;
  4. Drove change management through the mentoring and formal education of individuals, teams, and the firm; and
  5. Redesigned and implemented a new regulatory compliance program.


Senior management enjoys increased transparency, allowing for more informed and efficient decision-making without increasing resource workload or dependency. Operations and compliance functions gain greater credibility. Repeatable processes enable staff to meet growing demand without the need for additional resources. Increased workflow efficiency and talent utilization create additional career paths for mid-level operational staff.