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10 contributions to RIA Operators
Oct 14 •
Advisor Documents in Schwab Digital Onboarding
Does anyone use Schwab's digital onboarding to e-sign advisor documents? Would you be willing to talk me through your process? I'm hoping to password protect part of the document against editing and yet still have a couple of blanks filled out and require a signature and date. We need to actually have a signature on the document, not just a receipt that says it was signed. I can't find any procedures. Thank you in advance!
0 likes • Oct 17
Hi @Carol Bobke We created an Advisory Agreement specifically for inclusion in the Schwab digital workflow before sending it to the client. It doesn’t include a signature or date but does have the attestation, which to my understanding is acceptable since the Schwab electronic signature disclosures cover all documents within that package. We also have the same agreement available in a DocuSign version to upload through Schwab Document Sign if needed, or for wet signature if preferred. We have a separate Client Profile and Suitability Form that is sent out of our DocuSign prior to open the account. Hope it helps!
Oct 8 •
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.
Jul 30 •
Eclipse via Orion
Hi. I’d love to hear how your firms are using Eclipse inside Orion for day-to-day trading and portfolio management. Specifically: - How do you exclude specific assets from the models? - How do you handle dollar-cost averaging (DCA) for large deposits? - Any workflows or tips you’ve found helpful for traring on this platform? Custodians: RJ and Schwab We’re refining our trading workflows and I’d appreciate any real-world insights on what’s working well for others.
1 like • Aug 22
@Laura Harrison Awesome. Thanks for sharing.
0 likes • Oct 8
@Jessica Jones Thanks for sharing! Very helpful!
Dec '24 •
RMD workflow
Hello everyone. This is my first time using the chat. Does anyone have a workflow for RMDs that they can share? Thanks in advance.
1 like • Sep 10
@Aly Barnes Hi Aly. First of all, thank you... this was really helpful information. I have a quick question: what’s the purpose of triggering the workflow at the company level in Redtail rather than just the activity at the client level? We’re not currently using Redtail but may in the future, and I’d like to better understand the distinction. Thanks!
0 likes • Sep 11
@Aly Barnes Oh. That’s just to create the workflow so the firm has access to it. Right?
Jun 24 •
Data Gathering
Hello! What are your firms using for data gathering? We would like to collect the data and have the client attest or sign the information is true and valid. I know this information is entered in the CRM and I know it is entered in the custodian’ platforms for account opening as well but we would like to store that date gathering signed document on our side (not the custodian’ platform). Thanks.
1 like • Jul 18
@Theo Katsoulis Thanks for the reply!
0 likes • Sep 3
@Rajesh Jayaraman Hi, thanks for reaching out and pointing me to Flextract. I’ll look into it. Thanks!
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@lauren-bernal-1735
RIA/BD Ops - Passionate about efficiency and creating seamless processes across platforms.
Active 4d ago
Joined Jun 24, 2025
Palm Beach, Fl
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