Agent library
Agents for every part of your firm's work
More than 60 ready-made agents, grouped by the work they do, from winning a client to running the firm. Each one follows your firm's rules, and a person approves the key steps.
Win and onboard clients
Marketing and referrals
Referral partners, events, newsletters and the review every piece needs before it goes out.
Marketing and social media reviewChecks posts, newsletters, presentations and web copy against your marketing policy and the SEC Marketing Rule before they go out.Referral source trackingRecords who referred each new prospect and shows which clients and partners send you business.Referral partner updatesDrafts regular updates to the CPAs and attorneys who refer clients, and reminds advisors who is due a call.Event and seminar follow-upLogs every event guest in the CRM and drafts a follow-up for each one within days.Newsletter and commentary draftsDrafts the monthly newsletter and market notes from your team's points, ready for compliance review.Mailing list syncKeeps your newsletter list matched to the CRM, so former clients and opt-outs drop off and new clients are added.
Prospects and proposals
Handle new inquiries, check fit and turn a prospect's statements into a proposal.
Inbound lead intakeLogs every website, phone or email inquiry, checks it against your minimums and drafts a reply offering a first call.Background and sanctions screeningRuns identity and sanctions checks on a prospect before you invest time, and logs every result.Risk profile scoringScores a completed risk questionnaire with your firm's method and flags answers that don't fit together.Prospect proposal from statementsReads a prospect's statements and builds the current versus proposed comparison for the advisor.Prospect pipeline reportCounts inquiries, meetings, proposals, closes and sources each week from your CRM.Lost prospect follow-upReminds advisors to check back with prospects who did not sign, and drafts the note.
Client onboarding
Open accounts, move assets over from other firms, and get every form right the first time.
Client form automationFills in custodian, transfer and agreement forms from client data you already have and flags what's missing.New account onboarding reviewChecks each new account packet before it goes to the custodian, so it is not sent back.Client intake and document collectionSends the right document checklist for each new client, tracks what's arrived and reminds clients about the rest.Account transfers and re-registrationTracks every transfer from another firm until the assets arrive, and chases the exceptions.Internal new-client form and approvalsBuilds the internal new-client form from the CRM and the signed agreement, and routes it for sign-off.Custodian form version checkMakes sure every form going out is the custodian's current version.Rollover and exchange paperworkAssembles the comparison and paperwork for a 401(k) rollover or annuity exchange, with the reasons documented.Annuity application reviewChecks annuity applications for missing information and required documents before they go to the carrier.IPS draftingDrafts an investment policy statement from your template and the client's profile.
Serve clients
Client meetings
Prep before the meeting. After it, turn the notetaker's notes into tasks, CRM updates and the follow-up email.
Meeting prep briefBuilds a one to two page brief before each client meeting, with open items and missing documents.Meeting notes to CRM tasksTurns meeting notes into CRM tasks, record updates and a client follow-up email draft.Review schedulingFinds households due for a review and drafts the invitations.Household facts from documentsAnswers questions about a household from its documents, with the page each answer came from.Conversation reviewReads meeting notes for promises made, complaints and topics compliance should see.
Client service
Answer clients, handle requests and keep accounts up to date.
Client requests: money in, money outLogs each money request, proposes what to sell, and checks daily until the cash is ready.Client inquiry responseDrafts answers to client and CPA questions with the data attached.Client follow-up email draftsDrafts follow-ups for documents, signatures and open requests waiting on a client.Beneficiary reviewFinds accounts with missing or out-of-date beneficiaries and creates review tasks.RMD trackingTracks every required minimum distribution and flags those not yet taken.Client offboardingWorks the closing checklist when a client leaves, including the refund of any prepaid fee.
Portfolio oversight
Watch drift, cash and models across every household. People make the trades.
IPS drift detectionChecks every household against its IPS and flags drift, plus IPS documents that are missing or out of date.Cash and position monitoringWatches cash in every account against targets and what's coming up: withdrawals, fees and RMDs.Model change instructionsTurns approved model changes into account-level rebalancing instructions for your trader to review.Trade and allocation reviewChecks proposed orders against client restrictions and the IPS before they go out.Alternatives: capital calls and distributionsReads capital call and distribution notices, classifies them correctly and prepares the entries for approval.
Run the firm
Billing and fees
Bill every household by its signed agreement and catch errors before the fee goes out.
Fee schedule validationChecks every household's fee against its signed agreement and explains each difference.Quarterly billing reconciliationReconciles fees collected against fees calculated and lists every rejected or missing debit.Cash availability analysisChecks every account has cash to cover its fee before the debit, and prepares the sell list.Fee calculation and invoicesCalculates fees from each agreement and prepares invoices and fee files for approval.Fee settings vs agreement and ADVCompares your billing system settings with the signed agreements and your Form ADV fee disclosure.Signed agreement checkConfirms every household has a current signed agreement and every discount has a document behind it.
Data and reporting
Keep custodian, CRM and portfolio data matching, and get client and firm reports out correct.
Custodian to CRM reconciliationCompares custodian, CRM and portfolio records and flags the real differences.Statement parsing, Schwab and FidelityReads Schwab and Fidelity statements into clean, structured data.Custodian data feed monitoringChecks custodian data arrives complete and on time, before your team works from stale data.Missing data fill-inFinds blank fields in your CRM and proposes values from documents on file.CRM clean-up and duplicatesFinds duplicate contacts and messy records in your CRM and proposes clean-ups.Change sync across systemsTakes one approved change, such as a new address, and updates it in every connected system.Settings change detectionSpots changes to settings that matter, such as fee schedules and permissions, and asks who approved them.Source documents into the CRMPulls key facts from client documents into the right CRM fields, with a link to the source.Document filing and clean-upNames and files documents into the right household folder, and tidies old folders.Quarterly reporting assemblyAssembles quarterly client reports and checks the numbers before they go out.Management reporting packAssembles the monthly pack for partners: assets, flows, new and closed accounts by advisor.Form ADV numbersPulls the assets, account and client counts your Form ADV amendment needs.RFP and due diligence questionnairesDrafts answers to RFPs and due diligence questionnaires from your approved past answers and documents.
Compliance and risk
Reviews, exams and security.
Reviews
Document review, ADV consistencyChecks Form ADV Part 1, Part 2 and your actual practice against each other before you file.Communication reviewReviews flagged emails and messages and routes the real issues to compliance.Policy change impact reviewWhen a policy or rule changes, finds the documents and processes that now need updating.Branch auditPrepares and works through branch office inspections and drafts the findings.
Day to day
Policy and regulation Q&AAnswers routine staff questions from your firm's policies, with the section cited.Compliance calendarKeeps every filing and recurring task on the calendar, and reminds owners ahead of each deadline.Supervision and escalationLogs issues that need supervision and routes each one to the right person with a deadline.
Exams
SEC exam readiness checkChecks your records against what examiners commonly request and lists the gaps.Exam and audit response packageMaps each request on an exam or audit list to your records and assembles the response.Compliance evidence reportsTurns your agents' run history into reports organized by policy area.Annual compliance reviewAssembles the year's testing and findings into a draft annual review report.
Security
Vendor security reviewTracks vendors with client data, reads their security reports and flags exceptions and expiries.Disaster recovery test recordsKeeps the records of your disaster recovery and backup tests, and flags tests that are overdue.Breach notification (Reg S-P)Keeps your incident playbook ready and drafts notices and deadlines if an incident happens.Cybersecurity policy auditChecks your written cybersecurity policies against the rules and your own procedures.
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