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RIA Operators
1.2k members • Free
4 contributions to RIA Operators
13d •
Centralized Trading
Hi All! We are considering hiring a trader and centralizing our trading process (currently each advisor is doing their own trading). I was curious if any of you have a "trading" role and what other responsibilities you have that person manage outside of trading? With our current volume of trading, managing trades alone wouldn't be a full time position. Thanks!
1 like • 8d
@Theo Katsoulis Thanks for your input!
0 likes • 6d
@Derek Finch Okay that is helpful to know that that setup worked well for you! Was the CSA making trading decisions (deciding which assets to buy/sell for rebalancing or freeing up cash, etc.)? Or were you instructing them on exactly which securities to buy/sell?
Mar 19 •
Client Communication + Activity Delegation
Hello! We’re currently refining our Ops structure and looking to improve efficiency, and I’d love to get some input on a couple of areas: 1. We’re considering setting up a centralized “operations@...” email and a dedicated operations phone number for all client communication, rather than having messages come from multiple Ops Associates' emails/phone numbers. Does anyone use a system like this? What are the pros and cons? Have you run into any challenges — like emails getting missed — when managing a shared inbox? 2. We’re also working to better leverage activities/workflows in our processes (we use Redtail). For teams that use activities to manage requests between advisors and operations, how do you handle task delegation among multiple Ops Associates in a centralized operations structure?
0 likes • Mar 20
@Kevin Christensen That is my current plan if we move forward with the shared inbox! I way hoping to not put it on one person, but I think that may be the most efficient option. Thanks for all your input!!
0 likes • Mar 23
@Olivia Stephens Thanks for the insight! I didnt know there was a way to "tag" emails in Outlook. I will have to look into that!
Mar 20 •
Client Document Upload Platforms
Hi everyone, Quick question: What platform does your office use for clients to upload documents? Examples include Dropbox, ShareFile, TransferNow, etc. If you use something else, please let us know. Thanks!
1 like • Mar 20
We use Dropbox. Dropbox has been great, but we may transition to Sharepoint since we use the Microsoft Suite and it's included in the cost we are already paying.
Mar 19 •
Email Retention for Compliance
What company/product do you use for email retention (compliance purposes) for an RIA that uses Microsoft 365 for Emails?
2 likes • Mar 19
We use Redtail for our CRM and there is a "email journaling" feature that we have setup to capture all client emails in their CRM profile. Whatever CRM you use may have a similar feature!
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