Defining strategic options for renewing the core platform of a major US broker dealer

After a series of small acquisitions, our client had legitimate doubts about their 3rd party core brokerage platform and its ability to absorb transaction volumes if they were to pursue a major acquisition.
Working with senior leadership, we defined and evaluated a range of potential options to deal with the their brokerage platform's limited scalability and high operational risk .
After reviewing the costs, benefits and feasibility of a variety of alternatives we determined the best approach was to invest jointly with their current vendor to remedy key operating and scale deficiencies. By isolating and targeting investment in the most critical areas, the firm was able to execute the largest broker dealer acquisition in the firm’s history within six months.


Commercialization strategy to maximize the value of a software R&D portfolio

We worked with an enterprise software vendor that decided to make a major shift in the strategic direction of the company. They needed help to monetize the value of their extensive R&D portfolio as a precursor to selling it to another company.
Working with the head of R&D, we helped identify and market test the viability of several distinct product opportunities that could be enabled by the firm’s research portfolio. We also conducted a market scan to identify the firms that would benefit the most form acquiring the intellectual property associated with their R&D.
Within three months of finishing our engagement, the company successfully sold the portfolio to an adjacent competitor for over $20 million.


Structuring a program at major financial institution to respond to an aggressive new regulatory requirement

As part of the Dodd Frank reform legislation, financial institutions of all types were required to implement new capabilities to monitor the tax activities of any institutional client with foreign account holdings. The implementation deadlines were aggressive and our client was late in responding.
Working senior program leadership, we helped isolate all of the critical capability gaps and define a strategy to close them ahead of the mandatory implementation deadlines.
By following the execution strategy we helped define, the institution was able to achieve compliance on schedule while spending a third less than their competitors to achieve the same goal.