Financial Planning Operations
Your practice should become more capable as it grows — not more dependent on you.
The team is busy. Clients are being served. The practice may even be growing.
But reviews are becoming harder to stay ahead of, new employees take time to become productive, systems don't always give a clear view of what's happening, and too many decisions, exceptions and handovers still come back to the principal.
Heron helps privately owned financial planning practices understand what's creating that pressure, and build a clearer, more capable and less owner-dependent way of operating.
That work is grounded in 16 years across financial advice and related financial-services businesses—from consulting through to executive operations within a national, 160-person financial-services group operating under its own AFSL.
But reviews are becoming harder to stay ahead of, new employees take time to become productive, systems don't always give a clear view of what's happening, and too many decisions, exceptions and handovers still come back to the principal.
Heron helps privately owned financial planning practices understand what's creating that pressure, and build a clearer, more capable and less owner-dependent way of operating.
That work is grounded in 16 years across financial advice and related financial-services businesses—from consulting through to executive operations within a national, 160-person financial-services group operating under its own AFSL.
specialist experience
Do you find yourself thinking…
“We have good people, but everything still seems to come back to me.”
“The team is always busy, but I can’t see where all the capacity is going.”
“We’ve invested in systems, but people still rely on spreadsheets, inboxes and memory.”
“Every adviser and support person seems to do things slightly differently.”
“Reviews, follow-ups and handovers get done, but often only because someone is constantly chasing them.”
“I don’t know whether we need another person, better technology, clearer processes or stronger management.”
“The team is always busy, but I can’t see where all the capacity is going.”
“We’ve invested in systems, but people still rely on spreadsheets, inboxes and memory.”
“Every adviser and support person seems to do things slightly differently.”
“Reviews, follow-ups and handovers get done, but often only because someone is constantly chasing them.”
“I don’t know whether we need another person, better technology, clearer processes or stronger management.”
Operations across the practice
The operating system behind the advice
Advice quality depends on more than the adviser. It relies on how enquiries, client work, people, systems, information and compliance operate together across the practice.
Marketing and Growth Operations
The workflows behind referrals, enquiries, follow-up and conversion—so opportunities don't disappear between the website, the CRM and the first meeting.
Client Onboarding and Service Delivery
Onboarding, advice preparation, implementation and reviews—so what's promised in the first meeting is still happening in month six.
Technology and Information
CRM, reporting, integrations and information flows designed around what the practice needs the technology to do. Heron sells no software and receives no commissions.
People and Capability
Role clarity, onboarding, management routines and coaching—so improvements are owned by the team and don't depend on the principal to hold them together.
Compliance and Governance Operations
Evidence, approvals, file standards and supervision built into the way work happens—so compliance is produced by the process, not policed after it.
specialist experience
Before you add another person or another system
“We need another support person.”
The real issue may be duplicated work, inconsistent adviser processes, unnecessary approvals or poor visibility over capacity.
“Our CRM isn't working.”
The real issue may be unclear requirements, inconsistent data, weak ownership, poor configuration or disconnected systems.
“We need more leads.”
The real issue may be slow response, inconsistent follow-up, weak qualification or poor handover between marketing and advisers.
Before adding people, systems or complexity, it is worth understanding what is actually creating the pressure.
The real issue may be duplicated work, inconsistent adviser processes, unnecessary approvals or poor visibility over capacity.
“Our CRM isn't working.”
The real issue may be unclear requirements, inconsistent data, weak ownership, poor configuration or disconnected systems.
“We need more leads.”
The real issue may be slow response, inconsistent follow-up, weak qualification or poor handover between marketing and advisers.
Before adding people, systems or complexity, it is worth understanding what is actually creating the pressure.
specialist experience
Operational consistency protects the reputation behind the practice.
Clients never see the workflow, CRM configuration, approval process or handover behind their advice. They experience whether the practice responds when promised, communicates clearly, appears coordinated and delivers reviews consistently.
In a privately owned practice, that reputation is deeply personal to the principal. Heron helps build the systems and team capability needed to protect it—without relying on individual memory, constant checking or the principal stepping in.
In a privately owned practice, that reputation is deeply personal to the principal. Heron helps build the systems and team capability needed to protect it—without relying on individual memory, constant checking or the principal stepping in.
specialist experience
Financial-services experience from inside the operation
My financial-services experience spans 16 years: eight years consulting to financial advice, mortgage broking, accounting, equipment finance, leasing and bookkeeping businesses, followed by eight years as Group Operations Manager and Executive Director of a national financial-services group employing more than 160 people and operating under its own AFSL.
My responsibilities extended across operations, technology, governance, compliance, reporting, project delivery and business performance. That means recommendations are designed around what actually has to happen in an advice practice: evidence requirements, file standards, approvals, supervision, record keeping and audit trails.
Heron sells no software and receives no commissions. The objective is not to fit the practice around a preferred platform or generic process, but to build an operating model that works inside the realities of a regulated advice business.
My responsibilities extended across operations, technology, governance, compliance, reporting, project delivery and business performance. That means recommendations are designed around what actually has to happen in an advice practice: evidence requirements, file standards, approvals, supervision, record keeping and audit trails.
Heron sells no software and receives no commissions. The objective is not to fit the practice around a preferred platform or generic process, but to build an operating model that works inside the realities of a regulated advice business.
Start with the pressure in the practice