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