Broker Check

We Deliver

Unparalleled Support To Help Build Legacies

Technology Stack

  • Redtail CRM (Client Relationship Management)
  • Riskalyze (Risk Tolerance/Planning/Investment Policy Statements)
  • Peter Montoya MarketingLibrary (Marketing)
  • Horsesmouth (Practice Management Insights)
  • Wealthscape (NFS & SPC), Black Diamond (SPC)
  • Microsoft Outlook – Hosted Exchange 3 More to come... including Docupace (Workflow/Imaging/Forms Management), Digital Advice (ROBO) Options, Automated Advisory Billing System (with credit card capability), Comprehensive Account Aggregation Software 
  • Software Discounts or Special Access (MoneyGuidePro, Investigo Client Source, Morningstar CAM, DST Vision Pro, Fi360 Tools)

Brokerage Operations

  • National Financial Services (NFS) Liaison/Advocate for Advisors
  • Full Retail Broker-Dealer Support
  • Trade Desk with Professional Traders
  • On-Line Portal for Business Submission/Support
  • Wealthscape Training & Assistance (Client Information, Markets & Research, Trade, Service, Reports, & Tools)
  • Access to mobile Remote Check Deposit capability for NFS accounts
  • Retail Brokerage Compliance Assistance
  • Alerts on NFS Policies & Procedures Requiring Immediate Attention

Case Planning

  • Specialized Advice from Designated, Licensed, Experienced Individuals (who have their own books of business)
  • Product & Third-Party Manager Due Diligence
  • Third-Party Manager Selection Assistance
  • Case Plan Analysis & Support
  • Support for Qualified Plan Marketing, Sales, Service, & Compliance
  • Support for IRA Establishment & Guidance on Distributions (Traditional/Roth, Beneficiary/Inherited)
  • Guidance on Fiduciary Best Practices
  • Alternative Investments Due Diligence & Sales Support, & Training (through AI-Insight)
  • Individual Consultative Guidance & Ideas
  • Maintain Product Knowledge with Staff Specialists
  • Assistance with College Savings Plans
  • Help with Managed Money/Fee-Based Programs
  • Communications with Advisors (Emails, Websites, Newsletters, WebEx Meetings, Roundtable Discussions, Practice Management Road Shows, Regional Meetings, Annual Conference)
  • Tech Stack Best Practices Consultation (How best to use Redtail CRM, Riskalyze, MarketingLibrary, Horsesmouth in your practice)
  • Other Software User Support (Morningstar CAM, Fidelity Retirement Income Evaluator, Fi360 Tools, Wealthscape)

Commissions

  • Commissions & Fees Payable Processing
  • Early Check Request Processing
  • Work with You on Payment Plans, if needed, on Chargebacks/Errors
  • Specialized Commissions & Fees Reporting, including Historical Data
  • Help You Evaluate Past & Present Commissions & Fee Levels
  • Facilitate Succession Plan Updates & Implementing Buy-Out Agreements
  • Commissions Portal Assistance & Research Commissions & Fee Questions
  • Assist in Researching Commissions Issues with Product Providers

Compliance

  • Consultative Approach to Maintaining Rep Compliance
  • Internal Branch Audits & Feedback/Advice
  • Help You with the Examiner at Branch Regulatory Audits
  • Compliance Review of all Your Materials, Ad Review, Communications Review
  • Review Sales Programs & Third-Party Marketing Materials
  • Trade & Sales Review
  • Support & Provide Advice on Social Media Use
  • Assist in Managed Account Monitoring for Customer Tolerances
  • Continuing Education
  • Updates & Alerts on Regulation Changes
  • Cybersecurity/Identity Theft Prevention Program
  • Assist with Regulatory Inquiries & Arbitrations

Licensing Support

  • Monitor FINRA Series Licenses
  • NRF Setup & Training
  • Annual License Renewal Support
  • Monitor Licensing Regulations to Ensure You Stay Compliant
  • FINRA Liaison & Intermediation; Maintain Direct Contacts at FINRA
  • Branch Office Address Change Processing, including Updating Insurance Carriers
  • Communicate Licensing Requirements to Insurance Carriers on Your Behalf
  • Branch Office Audit Preparation & Support
  • Special Back Office Operations Training for NRFs/Administrators

Firm Development

  • New Rep Transition Support
  • Assist with Business Succession Planning
  • Assist with Business Acquisitions

Relationship Management

  • Advisor Advocate & Back Office Liaison
  • Business Development Support
  • Personal Service/Escalation Contact for Ongoing Issues

SPC

  • Fidelity Liaison/Advocate for Advisors
  • Fidelity Platform Support (Managed Accounts & Envestnet)
  • Full RIA General Service Support
  • Money Manager Due Diligence
  • Third-Party Manager Selection Assistance
  • Wealthscape Training & Assistance for SPC Accounts
  • Access to mobile Remote Check Deposit capability for SPC accounts
  • Envestnet & Black Diamond Training & Assistance
  • RIA-Specific Compliance Team

Technology

  • Tech Support for Your Local Devices – Hands-on, friendly, patient, professional Help Desk
  • General Technical Support
  • Remote Screen & WebEx Support
  • One-on-One In-Person Consulting
  • Software Training
  • Hardware & Software Troubleshooting
  • Virus & Malware Removal
  • Hosted Exchange & Encrypted Email Service, including Setup & Mobile Assistance
  • Cybersecurity Consulting
  • Tech Stack Subscription Setup
  • Assistance with Tech Stack Software Integration Issues
  • Personalized Software User Support (Investigo Client Source, Morningstar CAM, DST Vision Pro, Docupace, LaserApp, Microsoft Office)
  • Training Materials through WebEx, New Rep Training, and Live Industry Updates
  • Hands-on Mobile Help
  • Graphic Design & Logo Creation/Website Consultation
  • Assistance with Computer & Equipment Purchases as well as added Discounts
  • Forms Library & Website Maintenance
  • Implementing Two-Factor Authentication for Account Access

CORPORATE CULTURE & SERVICE ORIENTATION

  • We DELIVER unparalleled support to help build legacies
  • Direct Access to Management Team 3 Personal service: A real person always answers your calls
  • A friendly, knowledgeable staff nurtures personal yet professional relationships
  • Caring staff empowered to deliver personal, innovative support
  • Onboarding, Succession, Acquisition, Transition Planning
  • Regional & Roundtable Meetings
  • Practice Management Road Shows
  • Annual Practice Management Conference
  • Top Producers Conference
  • We CARE about you, your practice, your family – your present, your future

For more information about our firm and the services we offer, send us a quick email or call the office. We would welcome the opportunity to speak with you.

jsadek@upstreamip.com  |  (512) 284-4100