Financial Advisory Industry

Financial advisors are professionals who provide advice and guidance of various financial services based on a client’s financial situation and objectives. Financial Advisory companies, sometimes known as brokerages, enable financial advisors to create and grow their own profitable businesses by providing advisors with tools and services to meet the needs of their clientele. 

financial advisory

Industry Challenges

CFO Strategies helps owners and managers of financial advisory companies better understand the current financial state of their business and the direction in which the business is going. By providing more detailed performance metrics, often referred to as key risk indicators or key performance indicators, management is in a better position to adjust their strategies and to determine the overall profitability of their advisors within the company.  In addition, management now will have a better understanding of how their advisors contribute to the overall profitability of the organization.

Some of the specific analytics we provide to financial advisory brokerages include but are not limited to:

  • Earnings per Advisor
  • Commission Calculation per Advisor
  • Advisor Profitability Analysis
  • Profitability by Advisor Office
  • Profitability by Advisor Group

financial advisory spotlight

Other Deliverables we provide to Financial Advisory Brokerages


Balance Sheet

Profit & Loss Statement (P&L)

Cash Flow Forecast

Annual Budget and Financial Business Plan

Earnings Forecast

General & Administrative (G&A) Expenses Vs. Budget

Accounts Payable Aging

Accounts Receivable Aging

Debt Covenant Compliance

Gain/Fade Analysis (Comparison of profit margins from period to period)

Development and analysis of KPIs (Key Performance Indicators)

Evaluation of Internal Controls and Development of Standard Operating Procedures (SOPs)

Comparison of actual results to the business plan 

Other Ad Hoc Reports requested by management



Additional Services CFO Strategies Provides


Work with lenders to obtain lines of credit

Identify and develop new banking relationships

Work together with outside 3rd parties (CPAs, Insurance, Regulators, auditors)

Assist in recruiting and training staff

Serve as a trusted business advisor

One-off projects such as mergers and acquisitions

Assist in implementing new regulations (PPP, EIDL programs)

Assist in Exit Strategies