Succession Planning: A $40M Independent Financial Advisor’s Journey to Explore All Options

A seasoned advisor with $40M AUM on a National Broker Dealer platform engaged Doherty to evaluate all succession and independence options, ultimately positioning for a potential RIA transition.
Assets Under Management (AUM)
$40 million
Valuation Range
$1.2M–$1.6M (based on 3–4x EBITDA multiple)
Transition Timeline
12–18 months
Projected Post-RIA Net Income
20–30% increase over current payout

AI Transformation in Private Credit Underwriting and Portfolio Management

Our client is undertaking a comprehensive transformation to integrate AI technology into its underwriting and portfolio management workflows, resulting in a clear roadmap for future-state operations and talent optimization.
Target 50%+ decrease
Reduction in Manual Processing Time
Increase in Deal Throughput
Target 20%+ more deals processed per year
Employee Clarity & Engagement
Target 85%+ positive responses on clarity survey
Portfolio Performance Improvement
Target measurable increase in risk-adjusted returns

Accelerating Digital Transformation: from Legacy to Leadership

Our Client partnered with Doherty Search Partners to leap from legacy banking systems to a market-leading digital platform, unlocking exponential growth in fee income and cross-border payments.
Revenue Growth
$34.5M combined annual revenue by Year 5, with a 71% CAGR.
Digital Banking Contribution
58% of fee income from digital banking by Year 5.
Payback Period
24 months to positive ROI, with 4% ROI in Year 2.
Operational Efficiency
24/7 settlement, 10x transaction speed, and 60% cost reduction through AI-powered automation.

CCO Drives Transformation of $5 Billion Commercial Bank

Chief Credit Officer placed to drive credit transformation, enhance risk management, and support technology-enabled growth.
Non-Performing Loan
20% Overall Reduction
Average Loan Origination Turnaround Time
300% Overall Improvement
Automation Rate of Credit Workflows
74%, of 34% at Start
Credit/Risk Team Retention Rate
100%, Using AI to Improve Process