01
Advisor + client experience
CRM, planning, portals, dashboards, communications, and relationship workflows.
- Client portals
- Advisor workflows
- CRM optimization
The operating layer for independent finance
Run a stronger institution.
Managed technology, compliance, and operations - unified through one accountable partner.
One relationship. One operating model. Built to scale.
- Independent RIAs
- Broker-dealers
- Hybrid firms
- Trust companies
- Family offices
THE
AMGLOBE
STRATEGIES
OPERATING LAYER
TECHNOLOGY
Connected systems
COMPLIANCE
Visible control
OPERATIONS
Scalable execution
Connected environment
ACTIVE
One front door
Coordinated triage and issue ownership
Vendor management
Escalations, reviews, renewals, and accountability
Living roadmap
Priorities and improvements aligned to your firm
01 Technology solutions
One technology partner. Coverage across your entire firm.
We design, implement, support, and continuously improve a connected technology environment - while coordinating the vendors behind it.
02
Wealth + portfolio operations
Portfolio accounting, trading, performance, billing, aggregation, and reconciliation.
- Portfolio systems
- Performance reporting
- Data reconciliation
03
Compliance + supervision
Policies, attestations, testing, reviews, surveillance, archiving, and exam evidence.
- Digital evidence
- Supervision workflows
- Exam readiness
04
Onboarding + firm workflows
Digital intake, e-signature, approvals, service requests, task routing, and automation.
- Digital intake
- Workflow automation
- Service routing
05
INTELLIGENCE LAYER
Data + AI intelligence
Integrations, reporting, and governed AI workflows for advisors, back office, and compliance.
- System integrations
- Governed AI
- Decision dashboards
06
Security + resilience
Access controls, cyber coordination, vendor risk, incident response, and continuity governance.
- Identity controls
- Vendor risk
- Business continuity
02 The AmGlobe Strategies model
A modular platform built around how the institution works.
Begin where the pressure is highest. Expand without rebuilding the operating model.
Map your target environmentCRM • onboarding • service workflows • portals
Portfolio accounting • billing • performance • data
Policies • attestations • testing • evidence
Identity • records • resilience • vendor oversight
03 Advisory depth
Technology backed by real operating expertise.
Our services bench connects the systems work to the regulated processes those systems must support.
Compliance support
WSP maintenance, advertising review, AML programs, branch examinations, annual reviews, complaint handling, and exam readiness.
FINOP + reporting
FOCUS report review, net capital oversight, financial recordkeeping, regulatory filing coordination, and exception management.
Operations infrastructure
Trade processing, account maintenance, clearing-firm coordination, vendor billing, data reconciliation, and service escalation.
Registration + lifecycle
Representative onboarding and offboarding, Form U4/U5 coordination, state registrations, licensing, and firm-level registration work.
Due diligence
Product approval frameworks, sponsor monitoring, alternative investment diligence, vendor reviews, and documented oversight processes.
04 Managed technology lifecycle
A managed lifecycle - not a handoff after launch.
One team owns the journey from assessment through ongoing improvement.
-
Assess + architect
Inventory systems, contracts, workflows, risks, and priorities. Define the target environment.
-
Select + coordinate
Translate needs into requirements and coordinate evaluation, due diligence, and commercials.
-
Implement + integrate
Configure, migrate, connect, test, document, and launch through one coordinated plan.
-
Train + drive adoption
Deliver role-based training, procedures, change support, and reinforcement for real-world use.
-
Support + administer
Provide one front door for triage, user support, administration, and vendor escalations.
-
Govern + optimize
Manage reviews, renewals, performance, adoption, risk, and roadmap improvement over time.
05 Accountability is the product
One accountable relationship across a multi-vendor environment.
Instead of independently managing disconnected support paths, your team gains a central operating partner that coordinates the whole technology experience.
YOUR
FIRM
Priorities + context
ONE
AMGLOBE
Accountable partner
TECHNOLOGY
ECOSYSTEM
Coordinated vendors
LESSFRAGMENTATION
Fewer support paths and handoffs
MORECAPACITY
Less time coordinating the stack
STRONGERCONTROL
Clearer workflows and oversight
SCALABLEFOUNDATION
A roadmap that evolves with the firm
06 Built for independent finance
The same core adapts to your institutional model.
Start with the outcomes that matter most to your organization.
Independent RIAs
Reporting, CRM, and managed administration
Broker-dealers
Supervision, evidence, and principal efficiency
Hybrid firms
Coordination across BD and RIA entities
Trust companies
Fiduciary workflows and client administration
Family offices
Consolidated reporting and service operations
Community wealth
Modern advisor infrastructure for banks and CUs
07 A practical first step
Begin with a focused technology + operating assessment.
Turn current-state complexity into a sequenced path forward.
- Current-state map
- Priority gap analysis
- Target operating model
- Implementation roadmap
McDonough, GA 30253
josh@amglobestrategies.com
AmGlobe Strategies is a consulting firm serving financial-services organizations. Services are advisory in nature and do not constitute legal, tax, accounting, audit, or investment advice. Clients retain responsibility for regulatory filings, business decisions, and implementation.