Technology direction
A roadmap aligned with the firm’s growth, service model, obligations, current architecture and capacity for change.
Independent registered investment advisers
Technology and operations for independent RIAs.
RIA leaders make technology decisions across custodians, portfolio systems, CRM, planning, documents and Microsoft 365 while protecting client service and oversight. Joans helps leadership choose the architecture, clarify provider responsibility and carry the change through implementation.
Architecture in context
Modernizing adviser review preparation
Joans can assess the systems and information used before, during and after a client review; identify authoritative records and access boundaries; and define the integration, automation and operating controls required to present reliable context without creating another uncontrolled data store.
- Flow 01
CRM
Relationship, household and service records remain authoritative.
- Flow 02
Authorized client context
Only approved planning, portfolio, document and communication context enters preparation.
- Flow 03
Integration and automation
Controlled preparation assembles context without creating an uncontrolled client repository.
- Flow 04
Adviser review and record
The adviser validates the work and retains the approved outcome in the proper system.
Access follows client and role authority
Exceptions stop for qualified review
Evidence returns to the system of record
Client information moves from authoritative firm records through an authorized preparation boundary. Integration and automation support the work, while the adviser retains review responsibility and records the approved outcome.
Institutional context
Priorities for a repeatable, controlled advisory operation
Managing partners, COOs, operations leaders, compliance leaders and technology executives
Client information
A defensible structure across CRM, planning, portfolio, document and communication systems without creating another uncontrolled repository.
Provider accountability
Responsibilities made explicit across internal owners, custodians, managed-service providers, software vendors and other specialists.
Identity, security and records
Access, retention, audit, continuity and incident requirements appropriate to the information and the institution.
Modern capability
A disciplined basis for deciding where integration, automation or AI is useful and what controls the use requires.
Engagement scope
Work is defined around the institution’s priority.
A mandate may be an architecture review, a platform or provider decision, an operating assessment, or implementation leadership. Scope is set around a defined business priority and the institution’s current environment.
REPRESENTATIVE WORK PRODUCTS
- Current environment and architecture assessment
- Material risks, constraints and provider responsibilities
- Options, recommendation and decision record
- Sequenced implementation plan or delivery leadership
Joans works on technology, operations, and implementation. Investment, legal, tax, compliance, and other professional judgments remain with the client and its appointed professionals.