Family Office Advisory

Your success in building a high-performing, diversified portfolio is entirely incumbent on generating new ideas. Developing a process to uncover new, innovative, and unique investment opportunities is an ongoing challenge, but once you’ve mastered it, you immediately set yourself apart from other funds.

What exactly is the value proposition you are selling to investors? Your competitive advantage in picking investments. We’ll help you expand and streamline the methods you use to conduct thorough and compliant research through process improvements and quantifiable decision-making techniques.

Risk is an ongoing challenge that you must not only learn to identify in your firm, but seek to mitigate. Your methods, how you articulate those to investors, and your ability to effectively control risks specific to your asset class will help you build trust with your clients.

Data: It can undermine the entire investment process if it lacks integrity or quality. Let us help you implement cost-effective approaches to data vendors.

Avenues for trade execution, particularly technology innovators, are constantly evolving and have a direct impact on your ability to source liquidity, achieve the best execution, and generate alpha. How you manage the trading process is critically important to investors and regulators.

In recent years, SEC cases and enforcement actions related to firm research and investment practices have increased. Control measures are crucial to ensure that you are meeting all legal and regulatory requirements, particularly as it relates to material non-public information and the use of expert networks. The goal: to protect your firm from costly violations.

The PM manages two portfolios: People and investments. By far, the most important portfolio is the team, but leaders often struggle to invest time in creating a cohesive unit by establishing a process for hiring, compensation, performance measurement, and termination.

Your ability to effectively communicate with investors is critical in fostering long-lasting relationships. Referrals only come from well-informed and satisfied clients; they are our best marketing tool.

Set a tone-at-the-top commitment to compliance by establishing processes and control measures that help your firm prevent legal trouble and regulatory violations. Do it reputably from inception, so you can focus on success and avoid unwarranted scrutiny.

Whether you process records in-house or outsource them, you need to have a system in place to oversee the accounting, financial reporting, annual audit, and tax preparation requirements of the fund and its clients. The accuracy of your books and records is critical to daily operations as well as your contact with clients and regulatory agencies.

Set your team up for productivity by ensuring they have the tools and technology they need from success whether they’re working from home or in the office.

The number of cybersecurity attacks continues to steadily rise. Guard your firm’s data against the ongoing threat of cyberattacks, identity theft, and system outages.

Get support determining your software needs for key functions, including portfolio accounting, trade order management, compliance, performance measurement, and client reporting. Arootah advisors provide guidance in these areas in others to help you determine what is most efficient and cost effective. We focus on solutions that help you meet your needs today and as you grow.

Meeting the wealth, tax, asset, and liability management needs of the principal(s) and their estates requires specialized attention. Protecting the interests of the firm’s owner(s) ensures their peace of mind and business continuity.

To ensure the accurate and timely processing of transactions, it’s crucial to design a risk-mitigating workflow to manage the full lifecycle of a trade—order entry, execution, allocation, settlement, and reconciliation. Errors cost firms money and may damage their reputations.

The ability to forecast and budget the financial accounting and tax preparation needs of the ownership entity ensures it meets cash, treasury, and management reporting requirements. Understanding the financial condition of the business is critical to principal(s), partner(s), outside financial stakeholders, and investors.

A business cannot function without the proper behind-the-scenes support, resources, and services. Don’t ignore the importance of an efficient and cost-effective infrastructure to meet the ongoing needs of your clients and employees.  

Focus on your most important resource—human capital—by establishing and implementing procedures for talent acquisition, diversity and inclusion, training and professional development, and benefits. Employee dissatisfaction and turnover cost valuable time and money.

Manage the operational risk of the firm, ensuring processes are in place to identify the impact and probability of risk occurrence. Pinpoint mitigation strategies to ensure positive outcomes.