Custodial Connectivity
We integrate direct custodial feeds to provide a comprehensive view of trade activity and account movements. This allows our team to monitor household positions and employee blotters with precision, ensuring your oversight is driven by accurate, real-time data.
Nexus serves as the secure foundation for your firm’s digital archives and regulatory records. By centralizing books and records retention, we build a structured history of your firm’s compliance, ensuring you are prepared for rapid response during exams.
Our tools capture and archive firm-wide electronic communications, including email and text. By applying risk-based keyword reviews, we identify and resolve potential issues early, maintaining seamless collaboration between your advisors and our legal team.
Noah Baum
Executive Assistant
Amy Luna
Account Development
Representative
Jamie Nicolas
Compliance Coordinator
Ainsley Norman
Nexus Specialist
What makes Nexus different from a standard RIA compliance software?
While most software handles single tasks like archiving or task lists, Nexus is an integrated enterprise platform that combines multiple technologies into one centralized hub. It goes beyond simple "reminders" by automating the actual core business functions—integrating your portfolio data, billing, and advisor communications directly with your compliance requirements. This eliminates the need for a "patchwork" of disjointed apps and provides a single, unified source of truth for your entire firm.
How does Nexus help my firm maintain "audit-ready" status with the SEC or state?
Nexus is built for "continuous compliance." By automating workflows and providing system-built adherence to your Form ADV, every action taken within the platform is time-stamped, logged, and archived. This creates a meticulous digital audit trail. During a regulatory exam, instead of scrambling to consolidate spreadsheets, you can furnish vital insights and comprehensive reports directly from the platform, demonstrating a level of oversight that regulators increasingly demand.
Can Nexus automate complex operations like portfolio billing and trading?
Yes. Nexus is designed to "streamline the complexity" of back-office operations. It automates day-to-day tasks such as portfolio accounting, billing, and rebalancing. By managing how trades and payment information flow through your firm, Nexus reduces human error in fee calculations and helps to make sure that your operational output remains in constant alignment with your regulatory filings and client agreements.
How does the platform facilitate collaboration between my advisors and the compliance team?
Nexus features a modular user-management system. It provides advisors with a streamlined, intuitive interface for their daily tasks while giving compliance analysts and CCOs full access to oversight modules. This allows for seamless real-time collaboration: advisors can submit disclosures or marketing materials for review, and the compliance team can approve or flag them within the same system, replacing unreliable email chains and spreadsheets.
Is Nexus suitable for both small firms and large, high-performing RIAs?
Absolutely. Nexus is engineered to be scalable. For smaller firms, it acts as a "force multiplier," allowing a lean staff to manage complex regulatory burdens that would otherwise require an in-house employee. For larger firms with billions in AUM, it provides the sophisticated reporting, AML (FinCen/OFAC) capabilities, and advanced surveillance exceptions needed to maintain oversight across multiple locations and a high volume of transactions.