Chief Operating Officer (COO)

Location: Overland Park, KS (Where the magic happens)

The Numbers: $185K – $200K Base + 25% Bonus Potential

The Big Picture

Our Client is a powerhouse in the RIA and IMO space, managing over $10B in assets with a relentless focus on organic growth. They aren’t just a financial firm; they are a vertically integrated growth engine for independent advisors across the U.S. In an industry defined by massive mergers, they have stayed independent and entrepreneurial—fueling a remarkable 40% year-over-year growth for their top offices. This is a high-stakes role at a firm that has moved from a boutique service to a nationally recognized leader in just under a decade.

The Mission

Your goal is to be the Architect of Efficiency. You will sit at the right hand of the President to bridge the gap between high-level vision and daily execution. This role is about removing obstacles and creating a seamless operational experience for a network of over 200 advisors. You aren’t just managing a department; you are scaling a fiduciary-first culture where "good" isn't good enough and "stagnant" is a four-letter word.

The Daily Grind (The Good Kind)

• Operational Command: Lead the charge across Account Opening, Advisory Billing, Trading, and Transitions. If there’s a bottleneck in the back office, you’re the one with the solution.
• Tech & Custodial Mastery: Oversee the implementation of technology-driven tools (Orion, Tamarac) and manage critical relationships with custodians like Schwab and Fidelity.
• Strategic Architecture: Translate executive vision into actionable growth steps, ensuring every department is optimized for profitability and advisor success.
• The Compliance Shield: Ensure all operations remain bulletproof against SEC, FINRA, and state regulations.

Your Toolkit

• The Battle Scars: 10+ years in senior RIA operations (Broker-Dealer experience is non-negotiable) with 5+ years of management experience.
• The Credentials: Bachelor’s degree in Business/Accounting and a Series 65 or 7.
• The Mentality: Service-oriented, team-driven, and capable of pivoting instantly when firm priorities shift.
• The Communication: Ability to take complex operational issues and make them understandable for internal stakeholders and external partners alike.

The Payoff

• Compensation Detail: A strong base of $185K – $200K plus a performance-driven 25% bonus potential.
• Comprehensive Perks: A full-suite benefits package including premium Health plans, a 401(k) with a 6% match, and tuition reimbursement.
• Culture: Join a firm with a 98% advisor retention rate and a culture that values curiosity, innovation, and "no smoke and mirrors" transparency.

Our Partnership Approach

Thank you for trusting Lupton Partners with your career transition. We take immense pride in our work, but our focus is always on the outcome—for both the candidates we represent and the companies we serve.

If the first role we discuss isn't the perfect fit, we won't force it. Our goal is to land you in the right place, not just the next place. We also recognize that career changes—even the most exciting ones—come with a side of stress. That’s normal. We’re here to handle the heavy lifting and provide clarity at every step.

What to Expect

• The Introduction Call: This is a high-level chemistry check. We’ll dive into your history, map out your career goals, and get real about compensation and advancement targets.
• Active Searches: We’ll match your story to our clients' needs. We keep compensation targets front-and-center so nobody’s time is wasted.
• Client Submissions: It is our promise that we do not present your name or credentials to clients without clear communication and your explicit permission. To keep the process clean, please hold off on direct applications to our clients once we’ve engaged.
• Interview Feedback: This is where we earn our keep. Call us as soon as you hit the parking lot. If you think you fumbled a question or found a better answer ten minutes too late, let’s talk—we can often help navigate the recovery.
• Background Checks: Transparency wins here. If there’s a potential red flag in your background, drug screen, or credit report, tell us now. We can often manage the narrative if we know the facts, but surprises usually end the process.
• Offers: No surprises. We’ll walk through a verbal offer together before the formal letter arrives. Since we align on numbers in our first call, this stage should be a “green light” celebration.

Questions? Reach out anytime. Travis Lupton Office: 913-521-3303 | Mobile: 913-231-8472

travis@luptonpartners.com