Compliance

& Integration Portals for Teams

Providing whitelabeliing and integration systems to our fractional executive partners

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Compliance/Integration Systems

We offer compliance, sales partnerships, and tech integration portals to enhance firm communications, stakeholder procedures, and to provide consolidation points with third party applications

Compliance Portals

For Desktop tools/integrations
Compliance Portals

Disclosure Portals

For Desktop to Mobile integrations
Disclosure Portals

Integrations Portals

For consolidation with third party applications
Integrations Portals

Technology and Workflows

For Investment Advisors, Funds, FIN Service Providers, and Consulting Teams

Compliance + unified applications portal for firm and staff to save time when using multiple applications

For Fractional Executive/Consulting Teams

Cloud + unified applications portal for fractional CCOs, COOs, CMOs, CFOs, CROs and consultants to manage client applications

For Administration Teams

Cloud + unified applications for managing back-office duties, filing, tasks, and other client-based projects

Our Partner Programs

Consulting Partners

Referrals

Rev-Sharing

Software Partners

White labeling

Licensing

Third Party Partners

API Integrations

Single Sign On (SSO)

Features

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White Labeling

Tailor with your brand identity and unique requirements.

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Access Rights

Easily manage admin and user permissions.

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Integrations

Integrate the app with your existing tools via API/SSO.

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Compliance & Audit

Customizable workflows for training, disclosures, and audit reporting for all stakeholders.

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Templates

Access over 100 ready-to-use templates or upload/edit your own forms for unmatched flexibility.

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Dashboards for Admin, Staff Clients

Seamlessly navigate the app through an intuitive interface accessible to multiple team members.

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File sharing and Document requests

Share files with other users or request information securely.

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IT/Security consulting

Including IT/cyber consulting with our partners.

How the Largest Wealth Management Firms Do Revenue Sharing

According to a Financial Planning Magazine article “How the Largest Wealth Management Firms Do Revenue Sharing,”…… Mutual fund managers, whose products the firms' financial advisors recommend, pay wealth management companies a portion of their profits or revenue that the firms often refer to as "marketing" or "partner" fees…… As shown by the companies' disclosures, the money can add up to hundreds of millions of dollars or more in added revenue each year for the largest wealth management firms.

Disclosing Conflicts of Interest to avoid fines.An excerpt from an SEC staff bulletin on Standards of Conduct for Broker-Dealers and Investment Advisers Conflicts of Interest; "When there is a conflict created by firms or their financial professionals receiving compensation from third parties, whether or not sales-related (including, but not limited to, revenue sharing, sub-accounting, administrative services fees paid by a fund or its advisor), in the staff's view, broker-dealers, investment advisors or their financial professionals should disclose the existence and effects of such incentives provided to the firm or shared between the firm and others."

Our Partners

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Let’s schedule a time to chat about your compliance, audit, and reporting needs

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