Services

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Populate and prepare applications for presentation or signature, including e-signature

Submit business for processing and track progress, including resolution of NIGO (Not In Good Order) issues

Prepare reports and presentations for client meetings

Calculate and submit management fees and initiate transfer to business account

Create auto billing for platforms that provide it

Track/calculate fee-splits

Invoice direct-pay clients

Create/maintain compliant billing blotters

Create/maintain compliance blotters

Calculate/track AUM 

Update/distribute ADVs, RIA agreements, suitability questionnaires and other compliance material

Create/maintain compliant electronic and physical files

Organize and document monthly, quarterly and annual compliance requirements

Assist in establishing new offices

Audit preparation

Broker/Dealer changes or RIA conversions

CRM creation or clean-up

Compliant marketing, print materials and events

Coverage for employees out on family leave, disability, sabbatical or extended vacations