Dedicated Operations Talent
Fractional & Dedicated Managed Operations Integrated into Your US Practice Hours
Turnkey operational talent integrated directly into your practice during US business hours. From part-time support to full-time dedicated associates (160h/mo), we handle day-to-day custodial workflows, cashieringiCustodial Cashiering & Money MovementThe end-to-end back-office execution of wires, ACH disbursements, checks, asset journals, and fee deductions across custodian portals.Read full definition in Glossary →, and client service with Day-One platform fluency.
Operational Overview
Unlike pooled call centers or generic virtual assistant agencies, RIAFin Dedicated Operations Talent assigns a dedicated, platform-fluent professional exclusively to your practice. Your specialist operates directly inside your custodial portals and CRM under your firm’s Written Supervisory ProceduresiSupervisory Control System (SEC Rule 206(4)-7)The regulatory requirement that an RIA maintain written policies and procedures to supervise all internal and third-party operational personnel.Read full definition in Glossary → (WSPs), eliminating back-office drag and reclaiming 15+ hours weekly per advisor partner.
Core Deliverables & Capabilities
Day-One operational execution pre-integrated with your firm's workflows and custodial portals.
Custodial Cashiering & Money Movement
Processing federal wires, ACH transfers, check deposits, internal asset journals, and fee deductions directly on Schwab Advisor Center, Fidelity Wealthscape, and LPL ClientWorks.
Near-Zero NIGO Pre-Auditing
Meticulous pre-submission auditing of digital onboarding packets, DocuSign envelopes, and ACATiAutomated Customer Account Transfer ServiceThe electronic network managed by DTCC/NSCC that automates the transfer of securities and cash between brokerage and custodial accounts.Read full definition in Glossary → transfer forms to drive paperwork rejections to near-zero.
Human-in-the-Loop QA & Meeting Prep
Preparing client review agendas, custodial performance reports, and asset allocation dossiers before meetings, while auditing AI-generated meeting summaries.
CRM Pipeline & Task Management
Managing day-to-day client workflow pipelines, fielding administrative client inquiries, handling contact data updates, and logging comprehensive audit trails.
Supported Platforms & Custodial Ecosystems
Our talent is tested and pre-trained across the software systems that power US wealth management.
Commercial Structure & Proposal Delivery
Clear, predictable terms with custom proposals delivered within 24 business hours.
Frequently Asked Questions
Key operational details regarding execution, supervisory responsibility, and client onboarding.
Will our firm share our dedicated operational specialist with other practices?
No. Dedicated talent engagements assign a specialist exclusively to your firm for your contracted hours. They work inside your firm systems and do not juggle multiple outside practices simultaneously.
How quickly can our assigned operations specialist begin active work?
Because our talent is pre-screened and pre-trained on major RIA software (Schwab, Fidelity, Wealthbox, Redtail), standard onboarding, compliance setup, and secure access configuration takes 3 to 5 business days.
Can our dedicated specialist execute custodial cashieringiCustodial Cashiering & Money MovementThe end-to-end back-office execution of wires, ACH disbursements, checks, asset journals, and fee deductions across custodian portals.Read full definition in Glossary → and money movement?
Yes. Specialists prepare wire requests, ACH disbursements, account journals, and third-party SLOAiStanding Letter of AuthorizationA client authorization enabling recurring or on-demand money transfers between custodial accounts and third-party banks without re-signing each time.Read full definition in Glossary → documentation directly inside your custodian portals, queuing them for final authorized advisor approval.
How does your team eliminate custodial NIGOiNot in Good OrderPaperwork or digital requests rejected by custodians due to missing signatures, outdated form versions, or conflicting account data.Read full definition in Glossary → paperwork errors in daily client servicing?
Every DocuSign envelope, custodial form, and account maintenance request undergoes a rigorous multi-point pre-submission audit, catching missing signatures, incorrect tax IDs, or uninitialed fields to drive NIGOiNot in Good OrderPaperwork or digital requests rejected by custodians due to missing signatures, outdated form versions, or conflicting account data.Read full definition in Glossary → error rates down to near-zero (<1%).
Who holds legal and regulatory compliance responsibility under SEC supervisory rules?
All operational activities are performed strictly under the Written Supervisory ProceduresiSupervisory Control System (SEC Rule 206(4)-7)The regulatory requirement that an RIA maintain written policies and procedures to supervise all internal and third-party operational personnel.Read full definition in Glossary → (WSPs) of the client firm. The client RIA retains sole supervisory controliSupervisory Control System (SEC Rule 206(4)-7)The regulatory requirement that an RIA maintain written policies and procedures to supervise all internal and third-party operational personnel.Read full definition in Glossary → and legal fiduciary authority under SEC Rule 206(4)-7.
What contract term or exit clause applies to monthly managed dedicated talent?
We operate on transparent, flexible monthly retainer agreements with zero multi-year lock-ins. You can begin with a low-risk trial pilot, and all ongoing agreements include a standard 30-day exit clause.