Workflow Automation for Independent RIAs
Independent registered investment advisors and their operations staff
Cut onboarding time, automate compliance documentation, and spend less time on prep.
Independent RIAs face a specific set of operational challenges: client onboarding takes too long, compliance documentation is maintained manually, and monthly reporting pulls data from multiple disconnected systems. I build automations that handle the operational load so advisors can focus on client relationships.
From problem to system
Before
Current workflow
- Client onboarding delayed by documents bouncing between email and the portal
- Client-profile, recommendation-basis, and communication records maintained manually and inconsistently
- Annual review prep slowed by manual data pulls from custodian and planning software
After
Connected workflow
- Client onboarding document collection with targeted per-document follow-up
- Policy-approved documentation reminders triggered by allocation drift, life events, and regulatory updates
- Annual review prep via MCP server connecting custodian, planning software, and CRM
The operating picture
An independent RIA can reach a point where recurring onboarding and review work strains a small operations team without justifying another full-time hire. Strong automation candidates include client document collection, policy-driven documentation reminders, and meeting preparation across the custodian, planning software, and CRM. I've built all three for RIA clients. The architecture is well-tested, but each implementation follows the firm's regulator, approved policies, recordkeeping obligations, and human-review process.
Built for
Independent registered investment advisors and their operations staff
Typical stack
AI agents, MCP server, Salesforce, HubSpot, DocuSign, QuickBooks
Problems I see repeatedly
Client onboarding delayed by documents bouncing between email and the portal
Client-profile, recommendation-basis, and communication records maintained manually and inconsistently
Annual review prep slowed by manual data pulls from custodian and planning software
Client document collection for tax season resulting in weeks of email chase
Prospect nurture going quiet after the first few touchpoints in long decision cycles
What I automate
Client onboarding document collection with targeted per-document follow-up
Policy-approved documentation reminders triggered by allocation drift, life events, and regulatory updates
Annual review prep via MCP server connecting custodian, planning software, and CRM
Prospect nurture sequences with personalized outreach based on individual context
Meeting summary automation from transcripts to structured CRM notes
What changes inside the workflow
Workflow
- 0101
Workflow change 1
Client onboarding document collection with targeted per-document follow-up
- 0202
Workflow change 2
Policy-approved documentation reminders triggered by allocation drift, life events, and regulatory updates
- 0303
Workflow change 3
Annual review prep via MCP server connecting custodian, planning software, and CRM
- 0404
Workflow change 4
Prospect nurture sequences with personalized outreach based on individual context
- 0505
Workflow change 5
Meeting summary automation from transcripts to structured CRM notes
Tools I typically use
Sounds like your situation?
Book a free call and we'll figure out together what's worth automating first.
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