RIA Operations

Advisors Intelligence integrates with DocuSign to fully automate the account opening process for Individual and IRA accounts. The workflow begins by sending the client a secure intake form to collect the necessary account information. Once the form is completed, Advisors Intelligence automatically populates the required account application with the client’s data.

The application is then sent to the client through DocuSign for digital signature. After the document is signed, the system automatically files the application in the client’s WorkDrive folder and forwards the completed paperwork to Schwab for processing.

To ensure applications do not stall, Advisors Intelligence also sends automated notifications to the advisor at predefined intervals if the client has not yet signed or completed the application.

Advisors Intelligence automates the entire process of generating, sending, and executing Move Money forms. Advisors simply complete a structured Zoho form with the required transfer details, such as source and destination accounts, transfer amounts, and instructions.

The system automatically combines the information entered in the form with client data stored in the CRM to prefill the Move Money document. The completed form is then sent to the client through DocuSign for secure digital signature.

Once the document is signed, Advisors Intelligence automatically forwards the completed form to Schwab for processing and files the executed document in the client’s WorkDrive folder for documentation and recordkeeping.

If the client does not sign the document promptly, the system sends automated reminder emails at predefined intervals to ensure the request is completed without manual follow-up.

Advisors Intelligence automates the process of preparing and executing ACAT (Account Transfer) forms, allowing advisors to move client accounts from another custodian to Schwab with minimal manual effort.

The workflow begins when the advisor completes a structured Zoho form capturing the necessary transfer details, such as the delivering firm, account number, transfer type (full or partial), and account registration. Advisors Intelligence automatically combines this information with the client’s data stored in the CRM to prefill the ACAT transfer document

The completed ACAT form is then securely sent to the client through DocuSign for electronic signature. If the document is not signed promptly, the system sends automated reminder emails at predefined intervals to ensure the transfer process continues without delays.

Once the form is signed, Advisors Intelligence automatically forwards the completed document to Schwab for processing and files the executed ACAT form in the client’s WorkDrive folder for recordkeeping and compliance documentation.

Advisors Intelligence automates the process of preparing and submitting Change of Address requests for client accounts. Advisors simply update the client's address in the contact record and then click a button within the record to automatically generate and send the Change of Address form.

The system automatically combines the updated address with the client’s existing data stored in the CRM to prefill the Change of Address document. The completed form is then delivered to the client through DocuSign for secure digital signature.

Once the document is signed, Advisors Intelligence automatically forwards the completed form to Schwab for processing and stores the executed document in the client’s WorkDrive folder for documentation and recordkeeping.

If the client has not signed the form within the expected timeframe, the system sends automated reminder emails at predefined intervals to ensure the request is completed without requiring manual follow-up.

Advisors Intel automatically sends the advisory agreement to the client for digital signature, with all relevant data automatically prefilled into the document. This eliminates manual data entry and reduces errors.

The system will send automatic follow-up reminders at certain intervals if the agreement has not been completed. Once it is signed and completed, the agreement is automatically saved to the clients folder in workdrive.

Advisors Intelligence contains an automated process to generate, send and electronically sign Investment Policy Statements. This works closely with our risk tolerance questionaire and the risk profile section of a client record.

When a client completes a risk tolerance questionnaire, the results automatically populate the client's risk profile. Advisors Intelligence uses this data, along with account objectives and investment constraints to dynamically generate a customized IPS. The IPS statement is then automatically delivered for digital signature through Zoho sign.

Once the IPS has been signed and completed, the signed document is stored in the client's workdrive folder.

Advisors Intelligence provides an automated process to generate client risk scores, including an S&P 500 beta score to quantify risk tolerance for investment clients. These client risk scores are compared to model portfolio beta scores to measure alignment with client risk tolerance and portfolio construction.

The investment policy statement workflow integrates this data automatically. Client risk scores, model portfolio beta, objectives and constraints are all stored within the client record and flow directly into the IPS generation process.

Advisors Intelligence automates the process of scheduling Portfolio Review Appointments through a structured email outreach sequence. Clients receive an invitation email with a link to schedule their review meeting at a convenient time, reducing the need for manual coordination by staff.

If the client does not schedule an appointment within a predefined timeframe, Advisors Intelligence automatically generates follow-up reminder emails to encourage scheduling. If the client still has not scheduled after the reminder sequence, the system creates a task for the appropriate team member to call the client and arrange the appointment directly.

In some wealth management firms, estate planning has taken on a large role in servicing clients, exceeding expectations and opening the door for additional assets and referrals. We believe that Estate Planning is one of, if not the most, important service we can provide to our clients.

Advisors Intelligence automatically sends clients an invitation email to schedule their estate planning appointment. If the client does not schedule, automated reminder emails are sent at predefined intervals to ensure follow-through without manual staff intervention.

To help advisors prepare for these meetings, Advisors Intelligence also sends the client a structured estate planning intake form. This form collects important information about the client’s estate assets, beneficiaries, trustees, powers of attorney, and planning goals. Once submitted, the form is automatically saved in the client’s WorkDrive folder, and notifications are sent to the advisor when key responses indicate potential planning needs or follow-up opportunities.

Advisors Intelligence automates retirement plan meeting scheduling and tracking for business clients' 401k, profit sharing plans, etc., for whom you are the advisor.

The system schedules recurring meetings based on a defined meeting frequency (e.g., quarterly, semi-annual, or annual).

Ensures consistent retirement plan review cadence

Clear audit trail of meetings and communications

Advisors Intelligence integrates directly with Panoramix to bring portfolio and fee management data into the client record within Zoho CRM. Key portfolio metrics are automatically synchronized from Panoramix and continuously monitored by the system.

For example, the system can alert advisors if the advisory fees calculated in Panoramix do not match the fee schedule documented in the client’s advisory agreement. This helps identify billing discrepancies early and ensures alignment between portfolio billing and the firm’s contractual agreements.

The system will also generate performance-based alerts. If portfolio gains as a percentage of total portfolio value exceed a predefined threshold, the system automatically notifies the advisor. These alerts can help trigger timely client communication, tax planning discussions, or portfolio rebalancing considerations.

Advisors Intelligence provides a structured process for managing trading-related tasks, including model assignments, portfolio rebalancing, cash requests, trade requests, holding restrictions, and portfolio comparisons. These tasks are managed through an integrated Zoho Desk ticketing system, which serves as the operational engine behind the trading workflow.

Trading requests can be initiated directly from either Zoho CRM or Zoho Desk.

This workflow:

Centralizes all trading requests in a structured ticket system

Creates a documented audit trail of trading-related activity

Improves coordination between advisors and trading operations

Our prospect tracking automated process will make sure that when your office receives a prospect or referral, they will not slip through the cracks and the will be contacted at least biweekly if they have not moved to the next step in the process.

The system automatically tracks each prospect through predefined stages and generates follow-up tasks and reminders when activity has stalled. This ensures that every prospect receives consistent attention and that opportunities are not lost due to missed follow-ups.

This process includes a structured Zoho form that collects key information about the prospect, such as contact details, financial background and planning needs. Once submitted, the data is automatically populated into the CRM and stored within the prospect’s record, creating an organized starting point for the advisory relationship.

Advisors Intelligence contains an automated process that will assign assistants to a client, based upon the Advisor. These assistants are: Operations Assistant, Sales Assistant, Tax Assistant, Tax Admin, and Tax Preparer. This is achieved by setting the assistants in the advisor's user fields.

Operational Benefits:
1. Consistent and standardized client service model
2. Reduces internal communication breakdowns

Advisors Intelligence contains an automated process that allows you to assign a fee code to a client. The fee code system enables firms to maintain a centralized library of all advisory fee schedules within the CRM and easily select the appropriate fee code for each client.

Once a fee code is assigned, Advisors Intelligence can automatically populate the fee details into the client’s advisory agreement. With just two clicks, the agreement can be sent to the client for electronic signature using our integrated Sign application.

After the advisory agreement is completed, the signed document is automatically stored in the client’s WorkDrive folder and linked to the client record for documentation and compliance tracking.