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RIA Operators
1.1k members • Free
5 contributions to RIA Operators
1d •
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.
Oct '25 •
AdvisorEngine CRM revamp
Hey everyone, We’re currently using Advisor Engine as our CRM and are planning a revamp to make it more efficient and user-friendly. For those who have gone through a CRM cleanup, what workflows do you consider essential for an advisory firm? And were there any you realized were nice to have but not necessary? Right now, we have too many actions and activity types, which makes it hard to get clean and consistent data. We’re looking to streamline and standardize workflows so our reporting reflects what’s really happening.
1 like • Oct '25
We don't use AdvisorEngine, but speaking strictly from a workflow standpoint: Must Haves: Money Movements, Client Meetings, Onboarding, Client Passing Nice to Have, but perhaps not mandatory: New Account Workflow (Lot of work to capture all relevant data points in a new account application) We use general tasks to capture other client activities, but have sub-categories (bene update, address change, etc) for reporting purposes. It allows us to get a sense of volume quarter over quarter, year over year, and determine if we should consider a workflow specifically for that activity type. Hope that helps!
Mar '25 •
Aggregator Options
I'm looking for recommendations on Aggregator tools. We currently use ByAllAccounts but it has not aggregated 90% of our participant accounts in over 8 weeks. We have a ticket open but it's in the hands of "engineers" we are told and they are still working on the issue. It's time to start searching for alternatives and looking for any suggestions on what firms are using. I'd appreciate any feedback!
0 likes • Mar '25
Electra and Akoya are two well-known alternatives. Neither use the BAA "screen scraping" methodology, which causes the link to break every time a client gets locked out/changes their password. The flipside in transitioning is the initial set-up up the linking, which can be time-assuming and may involve client involvement (depending on the institution). Short-term headaches vs long-term gains, etc, etc.
1 like • Feb '25
Yes -- it's relatively new so continually evolving / expect further improvements and enhancements with time. Client output is a big plus.
Nov '23 •
Client Service/Operations Training
We are in the middle of onboarding someone who has close to zero experience in financial services for a client service administrator job. They have picked up the systems, culture and other internal topics well, but still makes occasional mix-ups mostly due to lack of experience. One example was getting mixed up by a beneficiary on an account vs. beneficial ownership of a corporate account. Has anyone found solid, PDF resources, guides, industry vocabulary, checklists, etc that would help a person in this situation? We've attempted to create a few on our own but would benefit from outside resources that could be kept at a desk or pinned to a bulletin board for quick reference.
1 like • Nov '24
@Jill Green Seconding this. Most custodians offer training modules specific to a role, or just general "101" type classes like differentiation between IRA accounts, etc, which are good resources for newer team members.
1-5 of 5
@dave-rueter-5128
Close to 20 years of experience in the Wealth Management and Financial Planning space, with a specialized focus in Operations.
Active 1d ago
Joined Oct 24, 2024
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