support


Our depth of practice management support allows you to easily integrate our platform into your business. This critical efficiency will help you increase profitability, as well as save significant time, energy, and capital.

Support.jpg
 
 
Access & Training.png

Expand Your Team

We build our resources, infrastructure and even our team seamlessly into your firm.  You will have direct access to our Investment Team as well as financial planning, graphic design, operations, and compliance consultants as needed.  This allows you to expand your team across a variety of functional areas without the associated costs of direct hires. 

 A Guided Blueprint

Training is available in multiple methods to help maximize your success.  Our resource center provides an e-learning environment that can be accessed at any time and includes items that can be used during each stage of the client relationship.  In addition, we offer personalized coaching which delivers guidance, best practices, and repeatable processes that have been successfully implemented by top advisors.

 
 
 
 
Operations & Compliance.png
 
 

Operations

We provide our advisor partners with significant back office support without limiting or restricting direct access to the custodians. 

 
Gears.png

Account Data Management
We download and reconcile all account data from the custodians to provide you with a turnkey and fully-managed account aggregation platform.

Performance Calculations
We process various return calculations using the reconciled transactional data so that you and your clients can access a full suite of detailed reporting.

Submission Platform
We extend our operations submission platform to your team which provides operational efficiency, transparency, and organization.

Account Service Support
We offer added support for a variety of client account service requests, which provides added efficiency and capacity for your staff.

New Business
Support We provide an additional layer of oversight for the new account process, helping to ensure smooth and timely account opening and funding. 

Billing
We manage all aspects of the fee calculation, deduction, and payout processes.

Trading
We generate and execute all trading associated with new accounts, cash management, and rebalancing which provides efficiency and simplifies your compliance requirements.

 
 
 

Compliance

 
 

YOUR RIA

If you implement our platform through your RIA, we provide a variety of helpful compliance resources to reduce your compliance-related costs as well as strengthen your compliance program.  


 

Compliance Submission Platform
Designed to provide critical parameters around your books and records workflows as well as required document retention

Training Guides
designed to concisely educate you on best practices related to key compliance topics

Template Documents
Includes customizable templates for your Policy & Procedure Manual, ADV 2A, Privacy Policy, and Client Contracts for various types of client relationships.

Consulting
Includes an additional layer of compliance support by coordinating with you and your compliance consultant or internal compliance team to help you navigate the regulatory environment.

OUR RIA

If you affiliate with our RIA, we provide you with a fully managed, turnkey compliance system which transfers a significant amount of the compliance-related burdens, costs, and responsibilities to our firm. 


Compliance Submission Platform
Designed to provide an efficient system for you to submit ongoing compliance requests for review and documentation. 

Supervision
Includes all necessary compliance oversight including branch audits, compliance testing, and maintenance of all books and records.

Insurance
Includes errors and omission (E&O) insurance for your investment-related activities as well as cyber security insurance

Compliance Technology
Includes all necessary technology to oversee your email, social media, website, and digital communications.

Document Maintenance
Full management and maintenance of the required firm-level documents including ADV 2A, ADV 2B, Policy & Procedures Manual, Privacy Policy, and Client Fee Agreement.