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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.
An independent RIA with 75–150 clients has enough operational volume to make manual processes genuinely painful, but not always enough staff to add headcount. The highest-leverage automation opportunities are typically: client onboarding document collection (where 2–3 week timelines are common and avoidable), compliance documentation maintenance (where a triggering event system prevents the gaps that cause exam problems), and meeting prep (where pulling data from custodian, planning software, and CRM manually consumes 2+ hours per review). I've built all three for RIA clients and the underlying architecture is well-tested.
Client onboarding taking 2–3 weeks due to document bouncing between email and portal
IPS, suitability docs, and communication logs maintained manually and inconsistently
Annual review prep requiring 2+ hours of 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
Client onboarding document collection with targeted per-document follow-up
Compliance documentation 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
Sounds like your situation?
Book a free call and we'll figure out together what's worth automating first.
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