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RIA Operators
1.1k members • Free
23 contributions to RIA Operators
Dec '25 •
Client Identity Verification via SMS OTP
Our firm is working on strengthening our cybersecurity and would like to implement an identity verification tool to use with clients. With the increase in hackers using A.I. to impersonate voices and spoof phone numbers, we would like to use a tool to send clients a SMS verification code when they call in with requests and verify the code. We found Twilio Verify, but after digging more into the tool, it seems that it is just an API tool that requires you to code it into an existing website/app or use 3rd party vendors with it. It just seems much more complex than we would prefer. I would love to see what other RIA firms are doing to verify client identities and what tools are being used for SMS OTP verification.
1 like • Dec '25
@Jayce Nall to piggy back on that. Maybe saying the same thing, but you could just use Zapier or n8n (or us!) to just pull the phone number in realtime and send a code. I'm thinking just a simple button ("send 2FA") and as long as the client's number is correct in the CRM, then the code is confirmed and RIA is notified of success. From what I recall, RingCentral is more for calls and notes, not on-demand SMS. We have Twilio set up on our end and use it for end-user 2FA when filling out forms (acats, account opening, etc.). If anyone needs help setting that up on any platform, let me know!
1 like • 10d
@Jayce Nall thanks! @Tara Shannon - wealthbox has a MyRepChat integration as well, which records a note when you send an SMS. We have that setup to help send automated birthday messages, and a separate setup with Twilio for direct 2FA with the client. Even if it's not a fit with us, happy to lend perspective; just let me know! Also, I know @Dustin Belliston is building CurrentClient which seems great - he likely knows a lot about this too.
0 likes • 23d
Is it just signing? Or do you need more features (filling in, workflows, etc.) I've used PandaDoc before and really liked it. Dropbox Sign is nice because it has the built in doc storage. One other one I've heard good things about is DocSend. Let me know if any questions.
0 likes • 20d
@Chris Gure I would check out pandadoc then.simple, and has good templates feature
Jan 21 •
BI Platform Inquiry
We manage multiple platforms and are considering implementing a BI platform that can pull data from all of them. Curious if anyone here is using something like this?
0 likes • Jan 22
@Melissa Weber three questions: 1/ where are you trying to pull data from? 2/ what kind of metrics are you trying to track? 3/ is there someone on the team with a data/analytics background? or do you need those set up as part of the platform? can try to suggest some options from that.
Oct '25 •
Tax Operations and Software
Looking for recommendations on an awesome client portal and tax return tracking software! Our current operations is an excel spreadsheet and ProConnect's portal, but we have had a lot to be desired with the portal and with an ever-growing team and new clients, we need better systems in place to reduce room for error. We use Redtail as our CRM and were recommended Karbon as a new client portal and tax status tracker as it integrates with ProConnect, but that is having is pain points as well. Looking to see other firms who also do taxes to see what other systems are out there!
0 likes • Oct '25
@Olivia Stephens are you looking for a better document system (upload statements, folders, etc.), extracting data and putting into Redtail, or something else? Depending on the answer can try to share some helpful links or tips.
Oct '25 •
Maintaining Suitability Info
I'm wondering what others are doing to properly store/maintain relevant suitability information for clients? I use PreciseFP for data gathering but the info gathered on income, expense, assets/liabilities, etc. doesn't seem to be transferrable to their WB profile. So I either have to maintain a separate record in PreciseFP (which I don't want) or I manually enter it within their WB profile (which I also don't want to do). I've considered just maintaining this information on an Excel sheet and linking to it within their WB profile but this isn't ideal. Ideally, I'd love to be able to run a quick report of all this information for periodic reviews and if/when an audit comes up. It seems that PreciseFP's custom reports don't allow for certain variables to be included.
1 like • Oct '25
@Cody Lachner another idea I've seen: update what you can in existing WB fields. For the other stuff, create a note and either tag it or add specific titles so you can search for it. Similarly, you could create the note, and then keep one custom field with a "Suitability Date" that you update each year so you know who's updated. Ideally, you still get the data in wealthbox, without needing to maintain a spreadsheet.
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@theo-katsoulis-2267
Automating admin for independent RIAs. Love backgammon, basketball and feta cheese.
Active 2h ago
Joined May 28, 2025
NYC
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