Transitioning away from being an employee to a small business owner can seem like a daunting task. We help you from start to finish on setting up your own business, locating real estate, branding and more. Once the transition is complete, we support your business by handling the billing, managing vendors and running your compliance program. We not only work with you to structure your practice but create efficiencies that give you more time to work IN the business and not ON the business.
Our team is now a part of your team. The value of Wealth Advisory Solutions is not only in the tools and services we provide but the ability to manage all of the components that come with running an independent advisory practice. We bring the experience and knowledge of the RIA marketplace to you, your staff and clients. This allows your team to work more efficiently and focus more time on serving your clients.
As your Chief Compliance Officer (CCO) we are responsible for running the day to day compliance functions for your practice. We work with you to create and maintain legal contracts with your clients, draft and amend your ADV brochure and manage your policies and procedures manual.
|ADV Brochure||Client Contracts||Email Archiving|
|Fee Testing||Regulatory Audits||Marketing Review|
We don't just give you the tools you need but manage and integrate them for you. We work with best in class third party software companies to create a seamless and client friendly experience. All of the systems we use connect with your custodian and each other to transform RIA technology from complexity to simplicity.
|Financial Planning||Performance Reporting||CRM System||Account Aggregation|
|Client Vault||Secure File Storage||Client Portal||Email Encryption|
It is not just about managing an independent financial services firm but managing a small business. As a small business owner you wear a number of hats. We purposefully built our firm to wear some of them for you.
|Account Billing||Integrated Phone System||Client Invoicing|
|E&O Insurance||Comprehensive IT Support||Business Valuations|
We are your in-house transition team that knows what it takes to get you from point A to point Z. From the beginning we sit down with you to craft a transition plan that will cover everything we need to accomplish to make your transition as smooth as possible. Starting as a captive employee advisor means we need to build your business from the ground floor.
|Entity Setup||Logo Design||Website Development||Tech Integrations|
|Employee Benefits||Real Estate||Custodian Selection||Hardware|
|Business Cards||Client Agreements||Paperwork Prep||Software Training|