Automation for Financial Advisors & Wealth Managers

Streamline client onboarding, compliance workflows, and reporting to serve more clients better.

Industry Benchmarks

23 days
Avg. client onboarding time
Source: Kitces Research
41%
Of advisor time on non-client tasks
Source: Cerulli Associates
15-20 hrs
Weekly on compliance & admin
Source: Investment Advisor Association

Sound Familiar?

These are the challenges we hear most often from financial services.

Compliance Documentation

Manually gathering and filing compliance documents across multiple custodians and regulators

Client Onboarding

New client paperwork taking weeks to process through multiple systems

Portfolio Reporting

Creating client reports by manually pulling data from custodians and aggregating in spreadsheets

Data Reconciliation

Matching records across CRM, portfolio management, and custodial systems

How We Help Financial Services

Tailored automation solutions designed for your industry's specific needs.

Digital Client Onboarding

Unified intake forms that trigger account opening at custodians, CRM record creation, compliance documentation, and welcome sequences automatically.

Compliance Automation

Automated gathering of required documentation, deadline tracking, filing preparation, and audit trail maintenance.

Automated Reporting

Pull data from custodians and portfolio management systems to generate client-ready reports automatically on your schedule.

Data Synchronization

Keep your CRM, portfolio management, and custodial data in sync with automated reconciliation and error flagging.

Workflow Automation

Common Financial Services Workflows

See how we automate the workflows that matter most to your business—from understanding to implementation.

1 of 2

Client Onboarding

A single intake triggers account applications at custodians, CRM record creation, compliance documentation, and welcome sequences—reducing weeks of paperwork to days.

Job to Be Done

Take a new client from signed agreement to fully funded accounts with all compliance documentation complete

Trigger: New client agreement signed

Workflow Steps

STEP 1
Digital Intake

Client completes online form with personal, financial, and beneficiary information

TypeformWealthboxSalesforce
STEP 2
KYC/AML Check

Identity verification and anti-money laundering screening

Compliance SystemThird-party API
STEP 3
Create CRM Records

Client and household records created with all intake data

RedtailWealthboxSalesforce
STEP 4
Submit Custodian Applications

Account opening forms submitted to Schwab, Fidelity, etc.

SchwabFidelityDocusign
STEP 5
Generate Compliance Docs

IPS, ADV delivery, privacy notices generated and sent

OrionDocusignCompliance System
STEP 6
Welcome Sequence

Automated emails introduce team, explain next steps, provide portal access

MailchimpCRMClient Portal

Data That Flows Through

Client PIIAccount typesRisk toleranceBeneficiariesCompliance attestationsAccount numbers

Outcomes

Onboarding in 3 days vs 3 weeks
100% compliance documentation
Clients engaged from day one
Advisors focus on relationship vs paperwork

Implementation Options

This workflow can be built on any of these platforms. Click to see implementation notes:

Ready to automate these workflows for your business?

Discuss Your Workflows

Tools We Integrate With

We connect the software your industry relies on.

Schwab
Fidelity
TD Ameritrade
Redtail
Wealthbox
Orion
Tamarac
Salesforce
QuickBooks

Who We Help

We work with professionals across financial services facing these common challenges.

RIA Owner with $100-500M AUM

Typical Challenges

  • Client onboarding taking 3-4 weeks
  • Compliance documentation scattered across systems
  • Portfolio reporting consuming weekends

Typical Impact

  • Onboarding reduced to days
  • Compliance-ready documentation on demand
  • Client reporting fully automated

Common Software

SchwabRedtailOrionDocusign

Chief Compliance Officer at advisory firm

Typical Challenges

  • ADV filings requiring manual data gathering
  • Audit prep consuming weeks
  • Tracking regulatory changes

Typical Impact

  • Filing prep time reduced 75%
  • Examination-ready documentation
  • Automated compliance monitoring

Common Software

Compliance SystemSalesforceDocument Management

Senior Financial Advisor

Typical Challenges

  • Sundays spent preparing client review packets
  • Data scattered across custodian and CRM
  • Manual performance calculations

Typical Impact

  • 8+ hours weekly reclaimed
  • Client meetings fully prepared automatically
  • More time for relationship building

Common Software

FidelityWealthboxTamarac

Frequently Asked Questions

Which custodians do you integrate with?

We work with all major custodians including Schwab, Fidelity, Pershing, TD Ameritrade, and others. We can also integrate with portfolio management platforms like Orion, Tamarac, and Black Diamond.

How do you handle SEC/FINRA compliance requirements?

Our integrations are designed with compliance in mind. We maintain complete audit trails, support required record retention, and can generate reports formatted for regulatory filings.

Can you help with our specific compliance workflow?

Absolutely. Every firm has unique compliance requirements based on their structure, custodians, and client base. We customize automations to match your specific workflows and regulatory obligations.

Ready to Transform Your Financial Services?

Let's discuss how we can automate your workflows and free up your team to focus on what matters most.