RIA Operators

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AMA: Inside the SO Academy is happening in 4 days

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Kate Guillen

Feb '24 •

General discussion

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*It has been a while since we started this community, so we thought it is a great opportunity for everyone to reintroduce themselves! For those of you who are new WELCOME to the RIA Operators community. The goal of this community is to connect with other RIA Operators, Owners, Founders and CSA’s to learn and grow from one another. Start by checking out these links: - Classroom - Calendar - Monthly Value Calls - Work with Simplicity Ops We want this space to be a network of resources for you. So, please comment below and introduce (or re-introduce) yourself. Let us know: 1. Where are you from? 2. What type of Advisory firm do you work at? 3. What’s your biggest pain point right now in your firm? See you in the comments!

1d •

Has anyone heard how this may affect the future of operations jobs in the wealth management industry and what we can be doing now to prepare for this? Mariner Wealth Advisors has committed approximately $175 million over five years to partner with Humanity Labs and introduce an “AI workforce” equivalent to 700 full-time employees. The goal is to automate manual, non-revenue-generating back-office tasks and support the firm’s growth.

Kristin McCoy

4d •

Business - Processes

Client Authentication Procedures for Money Movement Requests

We're revisiting our client authentication process for money movement requests and I'd love to hear what other firms are doing. We're considering a combination of challenge questions and text verification (Two-Factor Authentication for Redtail | DTS Verify), but we're concerned about making the process secure enough to prevent fraud without making it cumbersome for clients. For those of you who have implemented authentication procedures: - What does your process look like? - What challenge questions do you use that feel secure? - Have you had any lessons learned or unexpected issues? Appreciate any examples or advice. We're looking for solutions that are both secure and client-friendly.

New comment 1d ago

Ali Merten

2d •

Industry Spotlight

Curious about the Simplicity Ops Academy?

Join me and my colleague, @Brynn Shockey for a live "Ask Me Anything" session and get an inside look at our practical training program for client service associates in financial advisory firms. We’ll share what the Academy covers, who it’s designed for, and how it helps CSAs become confident, proactive operational partners. Bring your questions, we’ll answer them live! Sep 22, 2026 10:00 AM in Pacific Time (US and Canada) Register here

Amy Weideman

3d •

Business - Processes

Wealthbox Prompts / Playbook library (AI Assistant)

Curious if anyone in this group has built out a prompt library or playbooks for the AI Assistant in Wealthbox? I'd love to hear what's actually working for people, specific prompts, use cases, anything you've found overkill or not worth the effort. It does not look like Wealthbox has a formal resource library for this yet, so figured I'd crowdsource here before we reinvent the wheel.