Hey everyone, I’m currently working on structuring a trade blotter and trade documentation workflow for an RIA and wanted to get a sense of how others are handling this end to end. Specifically trying to understand: - What your full process looks like from trade decision to execution to documentation to reconciliation - Whether you’re using manual logs like Google Sheets or Excel or relying fully on custodial or reporting systems - How you’re capturing the reason for trade and linking it back to strategy or IPS - How you handle daily or next day reconciliation with confirms - Any checks or controls you’ve built to reduce errors I’m currently exploring a structured but simple approach, starting manual and then layering automation later, and trying to avoid overengineering early on. Would really appreciate any insights, workflows, or even rough templates or screenshots if you’re open to sharing.

Is anyone on here a Schwab client and also the person in the office doing the trading? In light of the pending fees for not-held orders handled by the block desk, we've had some calls with Schwab, watched the video and have started learning about the algos that can be used as a free option for the not-held orders. However, the training from Schwab is still somewhat limited and we are trying to get a full grasp of the algos. As a smaller firm, we don't have a dedicated person whose only job is trading and I'm trying to figure out how to best incorporate the trading algos as part of what we do for best execution without it taking over the rest of my job responsibilities. Thanks in advance for any input!

I’m trying to systematize our operations and build workflows for repeatable tasks. I started with the easier service tasks but I’m still struggling to understand the best workflow structure in Wealthbox (i.e., the logic behind how workflows should actually be used). Take a simple example: mailing a check. I’m with LPL, so most checks can be mobile deposited, but occasionally we still have off-platform rollovers, 529 contributions, etc. You’d think this would be straightforward to document. My biggest frustration is the need to use both notes and workflows to accomplish one simple process. What I’m trying to accomplish: Document the “why” behind the money movement — when it was discussed, when the movement should occur, recommendation rationale, etc. Example workflow: Receive check→ Confirm receipt with client if mailed to office→ Document receipt via note→ Prepare mailing and record in check log→ Mail check and record tracking #→ Confirm deposit with custodian→ Send confirmation to client In that process we typically contact the client twice (receipt + confirmation), and I’m trying to maintain a record of why the transaction occurred (rollover, contribution, recommendation date, etc.). The issue: - Workflow comments don’t show up in Wealthbox reports - Replies to notes don’t appear in reports either - The client feed gets cluttered with workflow subtasks - Meanwhile the actual narrative of what happened gets fragmented across tasks and notes So I end up maintaining both notes and workflows, which feels redundant and messy. For those who have really dialed in Wealthbox: What’s the best practice for structuring workflows vs notes so you preserve the narrative while still using workflows as checklists?

Has anyone used a consulting firm that sets up single sign on that you would recommend?

Are people recording QCDs in Redtail and then out of courtesy letting the clients know when 1099's are delivered what amount of the 1099R distribution is QCD in case they forgot since it looks like the code Y is optional in box 7