Helping Independent Financial Advisor Firms Surpass Their Highest Aspirations.

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Excellat Consulting

Providing Operations Consulting and Training for Independent Financial Advisor Firms.

At Excellat Consulting we take great pride in helping you become more efficient and accurate in your practice as an independent financial advisor.  The book and workshop together are designed to provide a cost effective way to get a strong foundation in business operations.  Whether you are a seasoned professional looking to expand or refine your practice or a new entrepreneur just starting your independent firm, these tools can help you implement the essential systems for success.

  • Why are you independent?

    Understand your reasons for going independent and the underlying virtue that energizes your goals.

  • What is your future?

    Define your vision and explain your mission.

  • How will you get there?

    By instituting principles, policies and procedures,with a highly trained staff, setting actionable goals.

Are you headed in the right direction?

Is your firm primed for growth?

“More than eight in 10 advisors want to spend more time attracting new clients and nearly as many believe that they could grow faster if they had better time management tools or processes” Pershing Inaugural Study of Advisory Success, 2013

“Staff training and knowledge is another source of inefficiency. Most entrepreneurs don’t have time to both serve clients and manage staff, so the latter tends to get short shrift.”  Mark C, Tibergien, Practice Made More Perfect, 2011

“…85% of those [clients] with more than $5 million in assets are happy with the frequency of their meetings with advisors, but only 51% describe the content in those meetings as excellent.” Spectrem Group, Today’s affluent investors

Excellat Consulting will help independent financial advisor firms by developing effective procedures and training advisors and staff who thrive while working in a highly functioning, efficient team of professionals focused on growth and success.

Our Consulting Services

Custom Development

Custom Development of firm-wide procedures and workflows including the understanding of their underlying principles, with the design, and implementation of the following operations:

  • Lead generation
  • Prospect development
  • Client onboarding
  • Investment management
  • Client servicing
  • Client reviews

Evaluate Existing Technology

Evaluation of existing technology and its use for any of the following:

  • Processing paperwork
  • Maintaining a database
  • Monitoring sales opportunities
  • Storing documents
  • Managing account trading
  • Communicating with clients

Corporate Calendar and Agendas

Creation of a corporate calendar and agendas for intra-firmmeetings:

  • Sales meetings
  • Investment committee meetings
  • Operations meetings
  • Staff training
  • New product or systems training
  • Compliance reviews

Personnel Analysis

Analysis of personnel including advice on defining roles for all advisors and support teams so work aligns with the firm’s mission and vision.

Team Training

Advisors and Support Team Training for successful implementation of all procedures.

Operations Review

Existing Operations review and advice for improvement in established firms or firms ready for expansion.

Learn more about our TEN POINT ADVISORY FIRM CHECKUP a unique evaluation system which will analyze your practice and provide recommendations for even greater success and solutions for the issues that could be inhibiting accelerated growth.


Our Vision

Your Firm’s Full Potential

Elevate the quality and professionalism of independent financial advisor firms helping all involved surpass their highest aspirations.

Lorraine Ell

Lorraine Ell


Lorraine Ell is the President of Excellat Consulting and creator of the Excellat Operations Optimization™ workshop. With almost two decades in the financial services industry she has helped independent advisors create and sustain successful practices. Most recently, she designed and directed the centralized operations department for a new RIA firm which grew from zero to $200 million in assets under management in less than six years.

As a life-long entrepreneur, Lorraine has lived, worked and traveled for several years in Europe, the Middle East and Asia. With her experience both here and abroad in a variety of businesses she now sees her life’s purpose as enlightening a path to true independence for those she helps.

Currently, Lorraine lives with her husband in New Mexico and visits her three sons and their families at every opportunity.

Career Highlights

  • Created a world-class import, marketing, and distribution company in post-communist Hungary.
  • Director of Operations for an RIA firm awarded 5 Fastest Growing Firm Awards by Financial Advisor Magazine and chosen twice for the New Mexico Private 100.
  • Co-Founder of successful RIA firm in the 1980s.
  • Founded the first woman-owned Adult English Language School in Saudi Arabia.
  • Published AMCHAM, the first widely distributed magazine for the Hungarian-American Chamber of Commerce, the largest in Europe.
  • Member of Phi Kappa Phi Academic Honor Society.
  • Awarded the first B.A. in Linguistics from Michigan State University based on completing the M.A. degree classes as an undergraduate, then completed an M.A. in Leadership.
  • Board memberships: The American International School of Budapest, The American Hungarian Chamber of Commerce, NAWBO New Mexico; Past- Chair, Albuquerque Committee on Foreign Relations.