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
Process distributions, deposits, wires, journals, rollovers, transfers, contributions, account updates
RMD calculation and processing
Client requests for documents, reports, tax information, etc.
Trade preparation and set up
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
Direct client serving and outreach
Appointment setting and calendar management
Custodial and B/D requests and issues related to your office
Customized billing, cost sharing and fee split reports
Give us a call, send us an email or IM us. We'd love to discuss how we can help you!
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