Wealth/RIA/BD Practice Assistant
Scheduling, paperwork and service requests for a licensed adviser's practice
The Wealth/RIA/BD Practice Assistant supports an advisory practice: booking reviews, preparing meeting packets from approved reports, taking service requests, tracking paperwork and keeping records the way the firm's compliance rules require.
The licensed adviser gives all advice and approves client communications under the firm's supervision. The assistant never recommends investments, never discusses performance outside approved materials and never places trades.
Supports a licensed professional only — never gives the advice itself.
Serves a registered investment adviser or broker-dealer representative only (Advisers Act §203; FINRA Rules 2210 and 3110). It never gives investment advice, and every client communication follows the firm's supervision and approval rules.
Reports to the licensed professional it serves, not to a seat on this org chart.
This seat is built and can be switched on for your business as a free evaluation. It is not for sale and has no price yet. Ask below; a person reviews every request and replies by email. Nothing is charged.
SARA is our AI assistant. Calls are recorded.
Morning: books quarterly reviews. Midday: assembles meeting packets from approved reports. Afternoon: logs a beneficiary-change request and sends the form. Daily: all communications archived for compliance.
- ·Book client reviews
- ·Prepare meeting packets from approved materials
- ·Take service requests and track paperwork
- ·Archive communications for compliance
- ·Route investment questions to the adviser
- ●Reviews scheduled on cadence
- ●Paperwork completed without errors
- ●Communications archived (target: 100%)
- · Independent RIAs
- · Financial advisers
- · Family offices