Workflows & Operations


Complimentary Consultation


Workflows & Operations


Complimentary Consultation
 

Don’t allow your business’s future expansion to be hindered by inefficiencies resulting from the need to juggle information from so many different sources. 

AdvisorLaw’s Nexus platform lays the groundwork for productivity by centralizing and streamlining the process.


Improving Workflow & Procedures

Our Nexus platform offers technological solutions for RIAs’ end-to-end, use-case scenarios, as well as many of the issues related to managing the myriad individual items, data, and tasks that financial advisors must monitor and carry out each day. We've blended 9 different technologies into a single, integrated package — to access all pertinent information, concurrently, with system-built adherence to your ADV. As a result, there’s no requirement for extra funding, while functionality, efficiency, monitoring, and granularity of transparency are all improved.

Creating Synergy

With Nexus, each RIA, its investment advisors, and AdvisorLaw’s RIA Compliance team may collaborate seamlessly, as a single, well-functioning entity. By coordinating communications, workflow management, compliance documentation, and books and records management, Nexus serves as a traffic director — laying the groundwork for productivity by determining how each user views and interacts with the data, driving compliance demands, and providing enforcement tools, while also establishing rules to assist departments’ ability to work together and communicate with the greatest possible efficiency.

Nexus’s project and workflow management features include:

  • a unified, task-based system
  • integrated, secure communications for operations and compliance-related matters
  • real-time statuses for requested and mandatory tasks
  • storage of each complete task lifecycle to provide dependable information
  • archiving and retrieval
  • workflow ticket distribution, handling, and notification
  • highly-configurable, compliance controls for:
    • task types
    • workgroups
    • business-rule steps
    • routing to multiple workgroups within compliance
    • internal, office-centric workflows for individual advisor offices
    • integration with document-management systems and e-signature providers

Nexus’s records management & books features include:

  • streamlined OFAC and CIP compliance with risk-alert submission
  • distribution of official forms for download
  • electronic forms for compliance questionnaires
  • LaserApp integration for generating and saving forms
  • 8 master reporting groups with 150+ real-time reports

Is your RIA's cybersecurity program compliant?


What ongoing RIA compliance services can AdvisorLaw tailor to your firm?


Contact Us



Interested in learning more about our RIA compliance services? Contact us for a complimentary consultation by filling out the form below:

    Contact us to discuss AdvisorLaw's RIA Services.

    The consultation is free, and our services were created exclusively for financial advisors
    (303) 952-4025

    Contact us to discuss AdvisorLaw's RIA Services.

    The consultation is free, and our services were created exclusively for financial advisors
    (303) 952-4025