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Free assessment

RIA / Wealth Advisory operations audit

Where your RIA / wealth practice is leaking new-client onboarding speed, post-close touch cadence (the 90-day vacuum), compliance review backlog (Form ADV, Reg S-P), and review-meeting prep time. 11 questions, ~5 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.Approximate firm AUM?

Drives whether you're state-registered (typically <$100M) or SEC-registered (≥$100M) — different Form ADV requirements.

4.How long does new-client onboarding typically take?

From the day the engagement letter is signed to the day the account is fully funded + custodied. This is the "90-day vacuum" window.

5.In the first 90 days after a new client signs, how many proactive touches do they get?

Proactive = advisor-initiated. Statements + custodian welcome emails don't count.

6.What happens to client calls / emails after market close?
7.How are outbound client communications reviewed before send?

Under Investment Advisers Act + Reg S-P, advice and recommendations require supervisory review proportional to firm size.

8.When was your Form ADV Part 2 (brochure) last updated?

Required: annual amendment within 90 days of fiscal year-end + material-change updates within 30 days of the event.

9.How do you prep for quarterly / annual client reviews?

Mid-firm benchmark: 1.5 – 2 paraplanner hours per review meeting.

10.Which best describes your tech stack?

We integrate with custodians, RIA CRMs, and financial planning tools. This helps us scope the integration conversation.

11.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 RIA / Wealth Advisory businesses:

  • New-client onboarding time + post-close touch cadence (where 20-30% of new clients churn in 90 days)
  • Form ADV Part 2 update discipline (annual amendment + material-change tracking)
  • Reg S-P privacy notice + IPS delivery process
  • Compliance pre-send review process vs SEC / state RIA expectations
  • Quarterly review-meeting prep efficiency (paraplanner hours per meeting)
  • After-hours client comm pattern + advisor coverage gaps
  • Growth source attribution + tech-stack fit for integration

See how it actually works

What AI handles for RIA / Wealth Advisory, end-to-end

The post-close information vacuum that drives 20-30% first-90-day churn at typical mid-RIAs ($200M AUM). 7-touch onboarding cadence + Investment Advisers Act / Form ADV / Reg S-P compliance frame. ~5 min walkthrough.

Want to talk before submitting?

We can also do a 15-minute intro call about whether managed AI ops makes sense for your RIA / Wealth Advisory business.

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