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RIA Operators
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83 contributions to RIA Operators
Jul 29 •
Wealthbox- Logging Calls
For those of you who use Wealthbox as a CRM system, do you use tasks to log client calls or notes?
1 like • 24d
Using a VoIP system that integrates with Wealthbox is so helpful for automating the logging process. I used Intulse at a prior firm. It adds calls and texts as notes in the client record. Like @Richard Mabbun mentioned I would definitely use tasks for actual to-do items so they don't get buried.
29d •
New Client Onboarding
Does anyone provide anything to a new client? if so, what do you provide? We are looking to streamline our process. Often, clients like to receive something they can take home and refer to frequently. We are considering a branded folder with a communication piece, but what else should we include?
2 likes • 24d
I've always found a contact list with name, phone number, email for their coverage team is a helpful quick reference! You can also include instructions on which team member to reach out to for different types of requests (i.e., trade vs. money movement vs. portfolio question) - but only if it applies to your service model.
Feb 5 •
Compliance Tech Stack
Who does everyone use for Compliance? We are looking to remove ourselves from Comply?
1 like • Feb 20
I've used Advisor Assist, ACA, and IQEQ. The latter two are quite expensive and I think better suited for firms that have complex structures/service offerings. Advisor Assist was very conservative in their recommendations, but thorough, and their price point was the easiest to digest. I know in the last year or two they have worked to become more tech-enabled, which was a paint point during our engagement with them. The common thread across all three is that the consultant assigned to you by the firm really makes or breaks your experience and the quality of advice you receive.
0 likes • Apr 9
@David Gilmore What is GreenBoard's pricing like?
Mar 17 •
Seeking Advice on Investment Ops & Trading Communication
Our firm (team of 5) is struggling with communication between our Investment Ops person and our trader, as well as between planners and Investment Ops. Currently, our Investment Ops person reviews Schwab each morning (Move Money legacy tab, alerts, activities) and compiles a Slack message with a list for our trader, covering: ✅ Money In to invest ✅ Updates (account openings, transfers, etc.) ✅ To-dos (portfolio updates, cash creation, etc.) ✅ Do NOT invest list (funds in transition) Hiccups we’ve encountered: ⚠️ The trader may start working before the list is created, leading to unintended trades. ⚠️ Cash set-asides sometimes aren’t cleared, triggering alerts for unnecessary trades. ⚠️ Money isn’t always invested immediately, and delays aren’t communicated effectively. - Investments may be delayed if the trader is waiting on details (e.g., the purpose of an account), but Investment Ops isn’t always aware, leading to funds sitting in cash unnoticed. ⚠️ Lastly, still refining how planners request investment ops to initiate cash transfers—whether a workflow is worth it or if direct processing is better. Having the emails & Schwab be the history for tracking purposes How do you streamline this process and ensure better communication? Would love to hear what works for you!
1 like • Mar 21
These seem like some good issues for a CRM to help you solve. Are you currently using a CRM? We recently implemented Wealthbox and have started to leverage tasks, workflows, and projects for better communication/coordination. I'd be happy to chat separately in more detail about what our process looks like. Feel free to DM me!
Mar 4 •
PTE 2020-02 Disclosure and Documentation
Good afternoon everyone. I am puzzling through an improved operational process to complete the required rollover disclosures and documentation required by PTE 2020-02. We currently utilize a .pdf form that we review with the client and then collect an e-signature though Adobe E-sign. I am hoping there is a more templated process that I can create either in GReminders, Thyme, PreciseFP, etc that would make the process smoother for our firm and the client. (I am not yet a Precise FP user, but on their public facing pages it doesn't appear they have any workflows regarding PTE 2020-02.) Does anyone have a process they use and are willing to share that might be an improvement for the client-facing step and also improve the PTE 2020-02 annual review that has to be done. Thanks in advance.
1 like • Mar 5
Depending on how frequently you are doing rollovers, you could look at some of the platforms that automate the process for you. I did demos with Broadridge fi360 and InvestorCOM last year. We rarely do rollovers, so opted not to go with either, but they do seem to make the whole documentation process a lot easier.
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@marcella-toronto-8084
Client services professional by day, busy mom to two little kids by night. I love to connect with other ops professionals 1-on-1, so send me a msg!
Active 43d ago
Joined Mar 3, 2023
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