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RIA Operators
1.1k members ā¢ Free
7 contributions to RIA Operators
4d ā¢Ā
Email Retention for Compliance
What company/product do you use for email retention (compliance purposes) for an RIA that uses Microsoft 365 for Emails?
1 like ā¢ 12h
We utilize Redtail with Outlook for ease of client communication within the office internally, which also covers compliance. We utilize Comply/RIA in a Box for the compliance purposes of email retention along with all other compliance-related tasks/storage.
4d ā¢Ā
Client Communication + Activity Delegation
Hello! Weāre currently refining our Ops structure and looking to improve efficiency, and Iād love to get some input on a couple of areas: 1. Weāre considering setting up a centralized āoperations@...ā email and a dedicated operations phone number for all client communication, rather than having messages come from multiple Ops Associates' emails/phone numbers. Does anyone use a system like this? What are the pros and cons? Have you run into any challenges ā like emails getting missed ā when managing a shared inbox? 2. Weāre also working to better leverage activities/workflows in our processes (we use Redtail). For teams that use activities to manage requests between advisors and operations, how do you handle task delegation among multiple Ops Associates in a centralized operations structure?
1 like ā¢ 12h
Our office utilizes a shared Info@... inbox and Outlook has the ability to add tags to emails. Our 5 admin that monitor the inbox will tag their name to the email so that we know 1. it was addressed and 2. who addressed it. Our admins are split into 1. New Account Paperwork, 2. Existing Account Paperwork, 3. Accounting and Bookkeeping Assistance, 4. General/other Redtail workflows and tasks are a little different. We use Jump AI which can add tasks and you can assign them to a person within Jump so our advisors are really keen on that route. Our workflows are set up to automatically set the creating user of the workflow as the owner so we have our advisors be responsible for starting them. Depending on the task, it is assigned to one of the 4 admin roles above.
3d ā¢Ā
Mail Merge
Hi! Our team is working on capital call communications that require clientāspecific emails. Weāve successfully built the merge template, but weāre running into an issue with the sending address. Ideally, these emails need to come from our team inbox rather than an individual mailbox. The Mail Merge can only send from Outlookās default account. Does anyone have any insight?
1 like ā¢ 12h
Came to say I've faced similar issues! One thing I've learned is the old Outlook can handle a proper mail merge while the new Outlook has the "mail merge" option, but far fetched from fillable fields. It's more of a Bcc than a mail merge. We have created an "Assistant" account so that it sends and doesn't look like it came directly from one single person in the office. We've also created email rules that reroute the incoming responses to the shared inbox. Definitely something that Microsoft can still improve on.
3d ā¢Ā
Client Document Upload Platforms
Hi everyone, Quick question: What platform does your office use for clients to upload documents? Examples include Dropbox, ShareFile, TransferNow, etc. If you use something else, please let us know. Thanks!
0 likes ā¢ 12h
We are currently using SmartVault because it can connect to ProConnect and is accessible year-round, but we are interested in Sharepoint as we also use Microsoft Suite. SmartVault has the added bonus of unlimited Docusigns so it's been super helpful for us this tax season as well as getting client signatures for investment paperwork.
Oct '25 ā¢Ā
Tax Operations and Software
Looking for recommendations on an awesome client portal and tax return tracking software! Our current operations is an excel spreadsheet and ProConnect's portal, but we have had a lot to be desired with the portal and with an ever-growing team and new clients, we need better systems in place to reduce room for error. We use Redtail as our CRM and were recommended Karbon as a new client portal and tax status tracker as it integrates with ProConnect, but that is having is pain points as well. Looking to see other firms who also do taxes to see what other systems are out there!
1-7 of 7
Active 12h ago
Joined Jun 11, 2025
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