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Free assessment

Financial Services operations audit

Where your RIA / wealth practice is leaking new-client onboarding speed, after-hours responsiveness, compliance review backlog, and review-meeting prep time. 7 questions, ~4 minutes — written assessment back in 1 business day.

Tell us about your operations

1.What best describes your firm?
2.How many advisors / planners?
3.How long does new-client onboarding (KYC, account opening, paperwork) typically take?

From initial commitment to fully funded + custodied.

4.What happens to client calls / emails after market close?
5.How are outbound client communications (advice, recommendations) compliance-reviewed?

Required under SEC + state RIA rules; varies by firm size.

6.How do you prep for quarterly / annual client reviews?
7.Where does most of your growth come from?

We'll send a written assessment to your email within 1 business day. No spam, no auto-enrolled drip — just the assessment and a follow-up if you want one.

What you'll get back

A concrete written assessment based on your answers — not a generic deck. Areas we cover for Financial Services businesses:

  • KYC + onboarding cycle time (weeks-long onboarding loses funded accounts)
  • After-hours client comm pattern + advisor coverage gaps
  • Compliance pre-send review process vs. SEC / state RIA expectations
  • Quarterly review-meeting prep efficiency (paraplanner hours per meeting)
  • Growth source attribution — referral vs. COI vs. digital

Want to talk before submitting?

We can also do a 15-minute intro call about whether managed AI ops makes sense for your Financial Services business.

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