Case Studies

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Shufro Rose

How a wealth management firm with more than 80 years of experience evolved with technology

Founded: 1938
Location: New York, New York
Website: www.shufrorose.com
Services offered: Wealth Management and Financial Planning
Clients: Over 1,300 households around the country*
AUM: $1.8 billion as of December 31, 2020
Staff: 24
Custodian: Fidelity Clearing & Custody Solutions and Schwab Advisor Services

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Dakota Wealth Management - Peter Raimondi, Chief Executive Officer and Founder

How a firm’s aggressive M&A strategy led to an innovative technology solution

Founded: May 2018
Locations: Seven offices located in Florida, Massachusetts, New Hampshire and Ohio
Website: www.dakotawm.com
Services Offered: Investment Management, Financial Planning, Tax Planning & Preparation, Estate Planning
Clients: Over 800 clients around the country
Staff: 31
Pershing Advisor Solutions and Fidelity Clearing & Custody Solutions.

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Financial Consulate - Mike McCarthy, Chief Operating Officer

See the differences an integrated technology solution can create

Founded: 1984
Locations: Hunt Valley, Maryland and Gettysburg, Pennsylvania
Website: www.financialconsulate.com
Services Offered: Wealth Management, Tax Services, Retirement & Estate Planning, Asset Management, Insurance Planning, Education Planning
Clients: Over 1,000 households around the country
Staff: 20
Primary Custodian: Charles Schwab & Co.

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Corrado Financial Group - Herman Lentz, Chief Compliance Officer & Trevor Hodges, Director of Client Relations

How an innovative wealth management firm revolutionized their business with integrated technology

Founded: 1983
Locations: New York, New York and Ramsey, New Jersey
Website: www.corradofg.com
Services Offered: Wealth Management, Tax Services, Retirement & Estate Planning, Family Office Services, Insurance Consulting, Business Services
Clients: 300 families (in investment advisory business)
Staff: 10
Primary Custodian: Charles Schwab & Co.

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Spinnaker Trust - Sara Lewis, Executive Vice President, Director of Client Service, Principal

How Spinnaker Trust Grew Business and Built Relationships with Envestnet | Tamarac

Founded: 2001
Headquarters: Portland, Maine
Website: www.spinnakertrust.com
Services Offered: Financial Planning, Wealth Management and Trust Management
AUM: $1.8 billion
Clients: 350
Staff: 31
Sub-custodian: U.S. Bank
Portfolio Management/Reporting: Tamarac Reporting
Portfolio Rebalancing: Tamarac Trading
CRM: Tamarac CRM

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Weston Financial - Jake Filoon, President and Chief Operating Officer

A Case Study on Keeping in the Game with Integrated Technology

Founded: 1979
Headquarters: Wellesley, Massachusetts
Website: westonfinancial.net
Services Offered: Financial Planning and Wealth Management
AUM: $2.3 billion
Clients: 1,000
Staff: 27
Primary Custodian: TD Ameritrade Institutional
Portfolio Management/Reporting: Tamarac Reporting
Portfolio Rebalancing: Tamarac Trading
CRM: Tamarac CRM

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Krilogy Financial - Andrew Miller, Investment Analyst

How a Technology Makeover Positioned Krilogy Financial for Future Growth and Continued Success

Founded: 2009
Location: St. Louis, Missouri
Website: krilogy.com
Services Offered: Krilogy is an independent wealth management firm focused on the development and execution of wealth management plans, investing in team, technology and knowledge to help clients reach their financial goals.
AUM: $750 million
Clients: 1,400
Staff: 41
Primary Custodian: Charles Schwab & Co.
Portfolio Management/Reporting: Tamarac Reporting
Portfolio Rebalancing: Tamarac Trading
CRM: Tamarac CRM

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Henssler Financial - Adam Ledbetter, CFP, Training Manager

A Case Study in Ensuring Your Firm can Adapt to Any Challenge

Founded: 1987
Headquarters: Kennesaw, Ga.
Website: www.henssler.com
Services Offered: Comprehensive financial planning, asset management, insurance, tax & accounting services
AUM: Approximately $1.56 billion as of December 31, 2016
Clients: About 3,600 individual accounts, and approximately 1,100 clients
Staff: 75 team members, including 22 advisors in its financial planning division
Primary Custodian: Charles Schwab & Co.
Portfolio Management/Reporting: Tamarac Reporting
Portfolio Rebalancing: Tamarac Trading
CRM: Tamarac CRM

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Toth Financial - Ken Bowen, Chief Operating Officer and Portfolio Manager

A Case Study in Positioning Your Practice to Glide Through Regulatory Audits & Other Challenging Situations

Founded: 1986
Headquarters: Leesburg, Va.
Website: www.tothfinancial.com
Services Offered: Long-Term Financial Planning & Wealth/Investment Management
RAUM: Approximately $460 Million, as of February 1, 2017
Clients: About 450 High-Net-Worth Individuals, Families, & Businesses
Staff: 8 Portfolio Managers/Advisors, 5 Client Service Associates
Primary Custodian: Charles Schwab & Co.
Portfolio Management/Reporting: Tamarac Reporting
Portfolio Rebalancing: Tamarac Trading
CRM: Tamarac CRM

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Bronfman E.L. Rothschild - Jill Lizzi, Wealth Advisor

A Case Study in Harnessing Tamarac’s Software to Facilitate Long-Term, Scalable Practice Growth

Founded: 1997
Headquarters: Rockville, Md.
Website: www.belr.com
Services Offered: Wealth management, financial planning, retirement plan advisory services, retirement plan consulting and administration
AUM: Approximately $4 billion
Clients: About 1,300 individual accounts
Staff: 70 team members, including 31 advisors
Primary Custodians: Charles Schwab & Co., Fidelity Investments
Portfolio Management/Reporting: Tamarac Reporting
CRM: Tamarac CRM

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Maryland Capital Advisors - Mike Damas, Founder & President

A Case Study in Getting Things Done Faster, and with Greater Precision

Founded: 2005
Headquarters: Chester, Maryland
Website: www.marylandcap.com
Services Offered: Portfolio management, wealth planning, and investment planning/consulting
AUM: Nearly $180 million for 83 client households*
Clients: Select high-net-worth individuals, families, family offices, trusts, and company retirement plans
Staff: Two principals and two client service/operations associates
Primary Custodians: Charles Schwab & Co., Fidelity Investments
Portfolio Management/Reporting: Tamarac Reporting
Portfolio Rebalancing: Tamarac Trading
CRM: Tamarac CRM

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Stanford Investment Group, Inc. - John Kirkpatrick, VP & Wealth Advisor

When it comes to the age-old choice, "build or buy," Stanford Investment Group (SIG) knows the best option for independent RIA practices

Founded: 1982
Location: Mountain View, CA
Website: www.stanfordinvestment.com
Services Offered: Comprehensive wealth management, which encompasses financial planning, asset management, and financial concierge offerings
AUM: Approximately $750 million*
Clients: 260*
Staff: 16 Total Employees, Including 7 Wealth Advisors*
Primary Custodian: Charles Schwab & Co.
Portfolio Management/Reporting: Tamarac Reporting
Portfolio Rebalancing: Tamarac Trading
CRM: Tamarac CRM

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Spectrum Management Group, Inc. - Leslie Thompson, Managing Principal

How can independent advisors offer more value to clients than ever before? They can start by harnessing the state of-the-art technology at the heart of digital advice offerings for their practices

Founded: 2001
Location: Indianapolis, IN
Website: www.spectrum-mgmt.com
Services Offered: Comprehensive wealth management and family office
AUM: Approximately $500 million*
Households: 150-160*
Staff: 9 total employees, including 4 advisors*
Primary Custodian: Schwab
Portfolio Reporting, Billing, and Client Portal: Tamarac Reporting
Portfolio Monitoring and Trading: Tamarac Trading
CRM: Tamarac CRM