Case Study

Empowering a Hamilton based Financial Advisory Firm to reach new heights

Founded in 1994 and based in Hamilton, this mid-sized financial advisory firm has been a trusted provider of wealth management, portfolio management and retirement planning services across New Zealand. Operated solely by its proprietor, the firm has built a reputation for personalised, ethical financial advice.

Business Goals

The firm is driven by a vision to:

Deepen client relationships and expand its clientele.

Streamline operations through advanced technology.

Reduce administrative overhead.

Maintain high ethical and compliance standards.

Stay ahead of industry trends.

Make agile investment decisions via a DIMS licence.

Access effective marketing strategies.

Increase profit margins and operational efficiency.

Business Challenges

Despite its strong foundation, the firm faced operational and strategic challenges:

Time-consuming admin tasks limited client engagement.

No DIMS licence and high costs delayed investment decisions.

Outdated tech systems reduced service efficiency.

Compliance was challenging without dedicated support.

Lack of integrated tools hindered workflow.

High operational costs from admin, technology and licences.

Finzo’s Integrated Solutions

To address these challenges, the firm partnered with Finzo, gaining access to a suite of integrated financial solutions:

Daily Admin Support

Freed up time for client engagement and strategic planning.

Compliance Support

Reduced regulatory risk and administrative burden for
the adviser.

Marketing Tool kit

Enhanced efficient communication, brand visibility and
client acquisition.

FNZ Custodial Platform

Streamlined asset management and reporting through trusted technology.

CRM System

Improved client relationship management and operational tracking.

FAP & DIMS Licences

The licences enabled compliant and efficient investment
decision-making.

Investment Committee

The committee provided expert insights for informed investment strategies, drawing on their collective experience in economics, financial markets, and risk management.

Development Conference

The conference ensured the firm stayed informed on industry trends and best practices, network with peers and gain insights from leading experts.

Certifications

The B Corp and CEFEX certifications affirmed clients that the firm had partnered with an organisation devoted to the highest fiduciary standards, social and environmental responsibilities.

Results

Partnering with Finzo allowed the adviser to cut operational costs by removing the need for in-house staff, office space and investment in integrated tech platforms. This streamlined setup also enabled the flexibility to work remotely, including six months overseas each year.

With admin and compliance tasks handled, the adviser could focus on clients and growth. Marketing tools, a CRM system and the FNZ custodial platform enhanced service delivery and client engagement. The DIMS licence enabled faster investment decisions, while the FAP licencing and Finzo’s CEFEX and B Corp licensing boosted client trust and credibility.

Finzo’s Investment Committee provided expert insights for informed strategies and participation in the adviser development conferences kept the firm aligned with industry trends and best practices.

Together, these elements helped the adviser attain unmatched efficiency, immense growth and establish strong credibility.