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RIA Operators

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Simplicity Ops Partners

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Improving the lives of financial advisors and the teams that support them, with simple systems and standardized operations!

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116 contributions to RIA Operators
CSA Education/Training
Good morning everyone: Question regarding certification/education training for incoming CSAs. To increase financial literacy and answer the "why" question surrounding the role, has anyone utilized any third party educational trainings? Like an FPQP certification course? As another example, I found a Client Service Certificate Program through Advisory Education Partners, but reviews were limited. Curious to hear what others firms are doing.
0 likes • 10d
We are rolling out the Simplicity Ops Academy next month to provide training to help create exceptional CSAs. Here is an overview of what we are working on.
Most tasks don’t stall because of laziness or lack of motivation.
They stall because no one is 100% clear on the process. When workflows live in people’s heads, you get: • hesitation • missed steps • leaders jumping back in to “fix it” That’s not an accountability problem. That’s a clarity problem. Accountability doesn’t come from more reminders or pressure. It comes from knowing: ✔️ what needs to happen ✔️ who owns it ✔️ when it starts Clear workflows create shared understanding. Shared understanding creates ownership. And ownership creates accountability. Attached is our Workflow Whiteboarding document, built to help you pull processes out of people’s heads and into a simple, repeatable structure your team can actually follow. Clarity isn’t about control. It’s about making it easier for people to do great work.
3 likes • 19d
Boom! Great post! So many leaders think they have an accountability issue when what they really have is an operational clarity gap. When the process is clear, ownership feels natural. When it’s vague, even high performers hesitate. Pressure doesn’t fix that. Structure does. Clarity isn’t micromanagement... it’s what gives people the confidence to move.
Vacation & Remote Policies
We are contemplating moving to an unlimited vacation policy as well as adding in a remote work component. Has anyone done this or have experience in it? Our Advisors operate this way now; however, the operations staff does not. The research says it's a positive for everyone. I would like to get real work information from someone. For example: a daughter/son is having a baby and the grandparent wants to either take time off or work remote. What things should we look at for policies? Does anyone have experience in this really working? Any guidance is appreciated. Thank you.
0 likes • Jan 10
@Lisa Bacon How is that working out for you guys? I have seen this go very well and very poorly. Would love to hear your thoughts!
2026 SOps Webinars
Hey everyone! We’re working on our webinar lineup for the year. And we want to feature people that YOU actually want to hear from. Who should we invite? Automations expert Outsourced CIO Fractional CIO Compliance Marketing Branding HR/People Experts Practice Mgmt consultant Workflow geeks Leadership roundtable Drop a comment and offer some other ideas!!
1 like • Jan 7
@Jose M Lopes We are def going to feature the folks listed above, shoot us some other ideas if there is anything else that is interesting!!
0 likes • Jan 10
@Grier Rubeling BOOM! thanks for volunteering :) I will email you!!
Anniversaries Gifts for Employees
Are other RIAs doing anything for Employees for 1, 2, 3, and 4 Year Anniversaries and for the Milestone Anniversaries of 5, 10, 15, 20 and 25 years
5 likes • Jan 6
Love this question and yes, many firms do this. But here is my take... the ones that do it best pair anniversary recognition with actually knowing their people. Tracking more than just start dates (favorite restaurants, hobbies, travel interests, preferred recognition style, family milestones) allows firms to make these moments personal instead of generic. The elite firms store this in a simple “team profile” in their CRM and update it during onboarding and 1:1s as they learn more about their team mates. A few gift ideas we see work really well: - A favorite local restaurant or experience (chef’s tasting, spa day, concert tickets) - Extra PTO tied to something meaningful (trip, new baby, life event) - A curated box around a hobby they love (coffee, golf, fitness, books) - A handwritten note, a public shout out from leadership calling out their impact When recognition is intentional and systematized, it strengthens culture and retention without needing to be extravagant.
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Kate Guillen
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@kate-guillen-1490
Founder of Simplicity Ops - We teach financial advisors how to run better businesses

Active 7h ago
Joined Sep 30, 2022
Carlsbad, CA
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