As we approach the end of 2025, RIA principals are entering strategic planning season.
If your firm is like most, this involves:
According to the 2025 RIA Benchmarking Survey, only 55% of RIA firms have a written strategic plan. That means 45% of firms are essentially winging it year to year.
Even among firms with written plans, many are gathering dust. Strategic planning fails not because firms don't think it's important, but because they don't know how to create plans that actually drive behavior change and measurable outcomes.
As you prepare for 2026, let's build a growth blueprint that's different—one that's specific, actionable, integrated, and measurable. And more importantly, let's discuss why Q1 2026 is the critical window for implementing the marketing infrastructure that will power your growth for years to come.
Before discussing what works, let's understand why most strategic plans fail:
Bad Strategic Plan Goal: "Grow the firm"
Why It Fails: No specificity about how, what, or who.
Good Strategic Plan Goal: "Add $50M in AUM through acquisition of 35 new ideal clients (average $1.4M AUM), sourced as follows: 20 from systematic client referrals, 8 from LinkedIn thought leadership, 5 from CPA partnerships."
The difference? The second is actionable. You know exactly what needs to happen and can measure progress.
Bad Strategic Plan: Lists 15 strategic initiatives across all aspects of the business
Why It Fails: Team doesn't have capacity to execute 15 major changes while running day-to-day operations.
Good Strategic Plan: Identifies 3-5 highest-leverage initiatives with clear resource allocation and sequencing.
Strategic planning requires ruthless prioritization. What will you NOT do so you can focus on what matters most?
Bad Strategic Plan: Leadership team agrees on goals in December, discusses again in December the following year
Why It Fails: No interim checkpoints, accountability, or course correction.
Good Strategic Plan: Monthly milestones, quarterly reviews, clear ownership for each initiative, and structured accountability.
Bad Strategic Plan: "Implement marketing program"
Why It Fails: Doesn't specify WHAT marketing, WHO will do it, WHEN it will be executed, HOW success will be measured.
Good Strategic Plan: "Launch LinkedIn thought leadership program with 2x weekly posts from founding advisor, focused on business owner audience, tracked in CRM, targeting 20 qualified prospects in Q1."
Strategy must be translated into systems and workflows.
Here's the uncomfortable truth: Most RIA firms will spend Q1 2026 talking about marketing infrastructure while a small percentage will actually build it.
The firms that act in Q1 will have 9-12 months of compounding advantage by year-end. The firms that delay will spend December 2026 having the same conversation they're having now.
Reason #1: Marketing Infrastructure Takes Time to Compound
Unlike hiring (immediate capacity) or technology purchases (immediate functionality), marketing infrastructure requires time to generate returns:
If you start in Q1: By Q3 you're seeing consistent results. By Q4 you're optimizing a working system.
If you start in Q3: By Q4 you're still in foundation phase. You've lost 6-9 months of compounding.
Reason #2: Competitive Positioning Window
Right now, in most markets, sophisticated marketing infrastructure among RIA firms is still the exception, not the norm. But that window is closing.
According to recent industry data:
Translation: There's still a first-mover advantage in most markets. The firms that build marketing infrastructure in Q1 2026 will establish visibility and authority before competitors catch up.
But this advantage won't last forever. In 2-3 years, sophisticated marketing will be table stakes. The question is whether you'll be leading or catching up.
Reason #3: Hiring and Growth Capacity
73% of RIA firms plan to hire in the next 12 months. But here's the challenge: hiring without pipeline is a bet on hope.
The firms that build marketing infrastructure in Q1 will have:
The firms that delay infrastructure will either:
Q1 infrastructure → Q2-Q3 confident hiring → Q4 productive new capacity
Let's build your 2026 strategic plan using a framework that actually drives results, with particular focus on the marketing infrastructure that most firms need.
Strategic planning starts with truth-telling about current state.
Growth Performance:
Lead Source Analysis:
Team and Capacity:
Technology and Systems:
Competitive Position:
Document brutally honest answers. Sugar-coating helps no one.
Now set goals—not vague aspirations, but specific, measurable targets.
Primary Metrics:
Why Layered Goals Matter:
Don't just say "$50M AUM growth." Break it down:
Example Layered Goal:
"Add $50M in AUM through acquisition of 35 new ideal clients (average $1.4M AUM), sourced as follows: 20 from systematic client referrals (improvement from 15 historical average), 8 from LinkedIn thought leadership (new channel), 5 from CPA partnerships (new channel), 2 from content marketing website leads (new channel). This requires generating approximately 70 qualified prospects (50% conversion rate), broken down by channel..."
See the difference? This goal tells you exactly what needs to happen and can be measured monthly.
CRM and Systems:
Team Development:
Client Experience:
Identify 3-5 major initiatives that will drive the most significant impact.
For most RIA firms in 2026, marketing infrastructure should be Initiative #1 or #2. Here's why: it's the highest-leverage investment with the longest compounding timeline.
Example Strategic Initiative #1: Build Diversified Lead Generation Engine
Specific Objective: Reduce referral dependency from 100% to 60% by implementing multi-channel marketing through the Vantage Point + TE+A Marketing 60-Day Program.
Key Actions:
Owner: Founding advisor (strategy), Marketing coordinator (execution)
Budget: $50K (CRM consulting, marketing tools, content creation, partnership development)
Success Metrics:
Why Q1 Start Is Critical:
Example Strategic Initiative #2: Hire and Successfully Onboard Second Advisor
Specific Objective: Add advisor capacity to serve 60-80 additional clients and reduce founding advisor client service hours by 30%.
Key Actions:
Owner: Founding advisor (recruiting/training), Operations manager (process documentation)
Budget: $175K (salary, benefits, recruiting, training)
Success Metrics:
Why This Depends on Initiative #1:Hiring confidence comes from pipeline visibility. Q1 marketing infrastructure → Q2 visible pipeline → Q3 confident hiring decision.
Example Strategic Initiative #3: Systematize Client Service Excellence
Specific Objective: Create scalable service model that enhances client experience while reducing founding advisor hours.
Key Actions:
Owner: Operations manager (process design), Service team (execution)
Budget: $15K (process consultant, CRM configuration, tools)
Success Metrics:
Notice how each initiative has:
This isn't a wish list—it's an execution plan.
Strategic plans fail when reviewed annually. Build interim accountability.
Q1 2026 (January-March): Foundation
Q2 2026 (April-June): Activation
Q3 2026 (July-September): Scaling
Q4 2026 (October-December): Optimization
Track these metrics monthly (15-minute review at month-end):
Growth Metrics:
Activity Metrics:
System Health Metrics:
Monthly metrics create accountability without overwhelming analysis.
Strategic plans fail when inadequately resourced.
Technology:
Marketing:
People:
Consulting and Support:
Total 2026 Growth Investment: $238K
Expected Return:
Plus long-term value:
Resource allocation shows you're serious. Strategic initiatives without budget are wishes.
Who's ensuring the plan actually happens?
Weekly Marketing Standup (15 minutes):
Monthly Leadership Review (60 minutes):
Quarterly Strategic Review (Half day):
Annual Strategic Planning (Full day off-site):
Clear Ownership:Every strategic initiative needs a single owner—not a committee, a person. That person doesn't do all the work, but they're accountable for ensuring it gets done.
As you build your 2026 plan, watch for these traps:
Taking last year's plan, changing the dates, and calling it strategic planning. If your plan looks similar to last year but you didn't achieve last year's goals, you need different strategies, not the same goals with new dates.
Trying to fix everything simultaneously. Pick 3-5 major initiatives. Execute those brilliantly. There's always next year for other improvements.
Planning new initiatives without considering how they'll actually get done given everyone's existing responsibilities. Either free up time (stop doing other things) or add capacity (hire).
Setting goals based on wishful thinking rather than realistic assessment of effort and resources required. "We'll 2X the firm" sounds bold but means nothing without the specific HOW.
Creating the plan in December and not looking at it again until next December. Strategic plans should be living documents with monthly check-ins and quarterly adjustments.
Planning to start "sometime in 2026" rather than Q1. Remember: marketing infrastructure compounds. Every month of delay is a month of lost compounding.
Use this checklist to ensure your strategic plan will actually work:
If you can check all these boxes, you have a real strategic plan—not a wish list.
Building and executing a comprehensive 2026 strategic plan requires clear thinking about priorities, specific action planning, system and process implementation, and ongoing accountability.
This is exactly what the 60-Day Program from Vantage Point + TE+A Marketing provides—and Q1 2026 is the ideal time to implement it.
If your 2026 strategic plan includes:
Then the 60-Day Program can accelerate your timeline from 12-18 months of trial-and-error to 60-90 days of structured implementation.
What you get:
What you avoid:
Why Q1 2026 specifically:
Learn more: https://vantagepoint.io/60-day-program
You're at a choice point right now.
Option A: Repeat 2025
Option B: Strategic Breakthrough
The difference between these options isn't luck or market conditions. It's strategic clarity + disciplined execution + Q1 implementation.
Which option are you choosing for 2026?
Ready to get started? The 60-Day Program is designed specifically for RIA firms that want to build systematic growth infrastructure in Q1 2026.
Schedule your 2026 strategic planning session to discuss:
Don't let 2026 be a repeat of 2025. Make it the year your firm builds the systems for sustainable, systematic growth.
The window for Q1 implementation is closing. Firms that commit in December can start executing in January. Firms that delay will lose the compounding advantage.
Strategic planning season is here. The question isn't whether you'll plan—it's whether you'll plan effectively and execute in Q1.
Explore the 60-Day Program: https://vantagepoint.io/60-day-program
This strategic planning framework represents the integrated methodology developed through the partnership between Vantage Point and TE+A Marketing.
Vantage Point specializes in CRM implementation and optimization for financial advisory firms, transforming underutilized technology into powerful business intelligence and client management systems that enable data-driven growth.
TE+A Marketing provides strategic marketing planning and execution for RIA firms, helping advisors build diversified lead generation systems that reduce referral dependency and create predictable, scalable growth.
Together, the 60-Day Program delivers integrated CRM implementation and marketing strategy that transforms firms from referral-dependent to systematically growing in 60-90 days—the perfect Q1 2026 initiative for firms serious about breakthrough growth.
Learn more:
If you've followed this 12-week blog series, you've seen how interconnected these challenges are:
None of these challenges can be solved in isolation. They require integrated systems thinking.
That's been the theme of this entire series: integrated CRM + marketing + strategic execution = systematic growth.
As you plan for 2026, remember: your competitors are largely doing the same things they did in 2025. The firm that builds systematic growth infrastructure in Q1 2026 will capture disproportionate market share.
Will that be your firm?
The choice—and the opportunity—is yours.
Here's to making 2026 your breakthrough year.
When Sarah Mitchell (name changed) reached out to us in March 2025, she was experiencing what we call "successful founder's paralysis."Her RIA firm had grown steadily for 8 years through exceptional service and consistent client referrals. She managed $240M in assets with a lean 4-person team. Clients loved her. Revenue was strong at $2.4M annually.
By most measures, she was succeeding.
But Sarah knew something wasn't right. In our initial conversation, she described it this way:
"I'm working harder than ever but growing slower than I should. I have this nagging fear that if referrals slow down—and they will eventually—I have no Plan B. I know I should be doing marketing, but I don't know where to start and I don't have time to figure it out."
This is the story of how Sarah's firm transformed from 100% referral-dependent to systematically generating leads across five channels—in just 90 days.
David Cockrum founded Vantage Point after serving as Chief Operating Officer in the financial services industry. His unique blend of operational leadership and technology expertise has enabled Vantage Point's distinctive business-process-first implementation methodology, delivering successful transformations for 150+ financial services firms across 400+ engagements with a 4.71/5.0 client satisfaction rating and 95%+ client retention rate.