Wealth Tech & RIA Systems
Your advisors are fiduciaries, not data entry clerks. Most of their week says otherwise. We build the systems that give the time back.
Segment Profile
// Market Context
The Landscape
Wealth management sits at an unusual intersection: high-trust client relationships combined with an enormous amount of back-office data reconciliation, reporting, and compliance documentation.
Client expectations are shaped by consumer fintech, demanding real-time portfolio visibility and fast digital onboarding. At the same time, regulatory compliance (SEC marketing rule, fiduciary duty suitability, Reg S-P) has increased, making compliance-aware engineering a differentiator.
// Scaling Barriers
Capacity Constraints & Document Scrambles
Business Bottlenecks
- ✕Advisor time consumed by manual meeting prep (pulling data from multiple systems) instead of client-facing work.
- ✕Client onboarding taking weeks due to manual paperwork and account transfer processes.
- ✕Portfolio rebalancing done manually or via basic rules that don't account for tax-loss harvesting nuance at scale.
- ✕Custodian, CRM, and portfolio data reconciled manually before client meetings and quarterly reports.
- ✕Compliance documentation (suitability, disclosures) tracked in spreadsheets or generic CRM fields not built for the purpose.
Technology & Integration
- ✕Custodian APIs (where available) require significant integration engineering to normalize.
- ✕Legacy portfolio management systems weren't designed for real-time data or modern API access.
- ✕Fragmented client records split across custodian data feeds, CRM registries, and planning inputs.
Growth & Regulatory Risk
- ✕Advisor capacity is the primary constraint — each new client adds administrative overhead that doesn't scale.
- ✕SEC Marketing Rule compliance for any client communication or marketing content, including AI-generated text.
- ✕Cybersecurity requirements (Reg S-P) around client PII and financial data require continuous logging.
// Solutions Architecture
Freeing Advisors from Operations Chaos
Unified Custodian & CRM Data Layer
We construct a secure data warehouse that aggregates data feeds from Schwab, Fidelity, and Pershing with Wealthbox or Salesforce into a single real-time client record.
AI Meeting Prep brief Generator
We deploy AI engines that synthesize portfolio performance, held-away assets, and CRM notes into a clean pre-meeting briefing sheet in seconds.
Digital Onboarding workflows
We automate client onboarding and account transfers, integrating with DocuSign to speed up onboarding from weeks to hours.
Custom Compliance Audit Trails
We build suitability tracking software that logs every client recommendation against compliance guidelines, ensuring audit readiness.
Granular Cloud Security Controls
We configure financial-grade cloud infrastructure meeting Reg S-P standards with read-only access logging and strong encryption keys.
Quarterly Performance report Engines
We replace manual quarterly statement collection with custom programmatic generation tools pulling live custodian data streams.
// Engagement Pipeline
The Implementation Blueprint
Custodian API Mapping
We audit your custodian data feeds, map CRM fields, and define compliance logging rules.
Data Layer Integration
We construct the secure client portal and automation pipelines, deploying inside isolated sandbox staging platforms.
Audit Trail Hardening
We enforce multi-factor role access controls, confirm Reg S-P logging verification, and prepare the compliance dashboard.
// Technical Blueprints
Example Systems We Build
Explore targeted solutions built from scratch.
Unified client portal aggregating custodian and CRM data
Custom compliance documentation and audit trail system
Advisor dashboard with proactive client alerts
Digital onboarding and account transfer workflow system
Custom quarterly reporting engine pulling live custodian data
Multi-custodian data normalization middleware
Internal advisor productivity and capacity tracking tool
Client communication compliance review system
Household/family account grouping and reporting system
M&A data migration tooling for firm acquisitions
// FAQS
Common Engineering Questions
Do you work with both independent RIAs and larger multi-advisor firms?
How do you handle AI tools given compliance requirements around client communications?
Can you integrate with our specific custodian and CRM combination?
Do you have experience with SEC and FINRA compliance requirements?
If your advisors are spending more time reconciling systems than serving clients...
Let's look at what's actually consuming that time and figure out what to fix first — starting with your custodian and CRM data integrations.