► SEC Rule 204-2
The Books and Records rule under the Investment Advisers Act requiring RIAs to maintain all written communications, client contracts, and portfolio recommendations for at least five years in an easily accessible place.
► Custodian Data Feed
Automated daily electronic file transmissions from clearing firms (Schwab, Fidelity, Pershing) delivering reconciled positions, transactions, and cash balances into an advisor's CRM.
► Household Modeling
The structural grouping of distinct legal accounts (individual IRAs, trust accounts, 401ks, joint taxable accounts) under a single family household for unified reporting and billing.
► FINRA Rule 4511
General requirements for broker-dealer books and records preservation, mandating tamper-proof electronic storage media (WORM format) and instant retrieval capabilities.
► Orion / Addepar API Integration
Direct bi-directional application programming interface connectors enabling real-time portfolio performance benchmarks and billing schedules to display inside CRM client records.
► WORM Storage
'Write Once, Read Many' immutable storage architecture legally required for broker-dealer electronic document preservation to prevent alteration or deletion.
► Portfolio Drift Triggers
Automated CRM alerts triggered when a client's actual asset allocation deviates beyond set percentage parameters from their target risk model.
► RIA (Registered Investment Advisor)
An investment fiduciary firm registered with the SEC or state securities regulators, held to strict legal standards to put clients' best interests first.
► Client Portal Encryption
End-to-end AES-256 encryption applied to document vaults and secure client portals where quarterly performance reports and tax documents are shared.
► Automated NIGO Workflow
'Not In Good Order' automated triage that flags missing signatures or incorrect beneficiary designations on account opening forms before submission to custodians.
► Black Diamond Integration
Enterprise portfolio reporting sync that feeds client net-worth statements, asset growth trends, and billing schedules directly into the CRM database.
► Supervisory Control System (FINRA 3120)
Automated compliance monitoring module inside modern CRMs that tracks advisor communications and flags unapproved marketing collateral.
► Fiduciary Standard
The legal obligation of wealth advisors to provide advice solely in the client's best interest, requiring verifiable audit logs for all trade proposals.
► Single Sign-On (SAML / Okta)
Enterprise identity federation allowing wealth firm staff to securely authenticate into CRM, custodian portals, and financial planning suites with MFA.
► Automated Fee Billing Sync
Direct calculation of quarterly AUM management fees based on custodian average daily balance feeds, generating custodian-ready debit instructions.