Professional Execution and Support

Simplicity Wealth’s practice management support provides simple integration of the platform into an independent financial advisor’s business. This efficiency works to help increase profitability, as well as reduce time, energy, and capital. Simplicity Wealth’s wide-ranging support includes access, training, operations, and compliance.

ACCESS

Financial advisors have direct access to Simplicity Wealth’s investment team as well as financial planning…

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Financial advisors have direct access to Simplicity Wealth’s investment team as well as financial planning, graphic design, operations, and compliance consultants as needed. This allows advisor partners to expand their capabilities across a variety of functional areas without the associated costs of direct hires.

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TRAINING

Training is available in multiple formats. The Simplicity Wealth resource center provides an e-learning environment…

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Training is available in multiple formats. The Simplicity Wealth resource center provides an e-learning environment that can be accessed at any time and includes items that can be used during each stage of the client relationship. In addition, Simplicity Wealth offers group training and personalized coaching which delivers guidance, best practices, and repeatable processes that have been effectively implemented by successful advisors.

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OPERATIONS

Simplicity Wealth provides its advisor partners with significant back office support without limiting…

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Simplicity Wealth provides its advisor partners with significant back office support without limiting or restricting direct access to custodians.

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ACCOUNT DATA MANAGEMENT

Simplicity Wealth downloads and reconciles all account data from the custodians to provide advisor partners with a turnkey and fully managed account aggregation platform.

BILLING

Simplicity Wealth manages all aspects of the fee calculation, deduction, and payout processes.

PERFORMANCE CALCULATIONS

Simplicity Wealth processes various return calculations using the reconciled transactional data so that its advisor partners and their clients can access a full suite of detailed reporting.

TRADING

Simplicity Wealth generates and executes all trading associated with new accounts, cash management, and rebalancing which provides efficiency and simplifies its compliance requirements.

SUBMISSION PLATFORM

Simplicity Wealth extends its operations submission platform to provide operational efficiency, transparency, and organization for its advisor partners.

NEW BUSINESS SUPPORT

Simplicity Wealth provides an additional layer of oversight for the new account process, helping to ensure smooth and timely account opening and funding.

ACCOUNT SERVICE SUPPORT

Simplicity Wealth offers added support for a variety of client account service requests, which provides added efficiency and capacity.

Compliance

IAR SUPPORT

Simplicity Wealth advisor partners receive access to a fully managed, turnkey compliance system including:

Compliance Submission Platform

Designed to provide an efficient system to submit ongoing compliance requests for review and documentation.

Supervision

Includes all necessary compliance oversight including branch audits, compliance testing, and maintenance of all books and records.

Insurance

Includes errors and omission (E&O) insurance for investment-related activities as well as cyber security insurance

Compliance Technology

Includes all necessary technology to oversee email, social media, website, and digital communications.

Document Maintenance

Full management and maintenance of the required firm-level documents including ADV 2A, ADV 2B, Policy & Procedures Manual, Privacy Policy, and Client Fee Agreement.

RIA SUPPORT

Simplicity Wealth offers a variety of resources to reduce compliance-related costs as well as strengthen compliance programs including:

Submission Platform

Designed to provide critical parameters around books and record workflows as well as required document retention.


Training Guides

Designed to concisely educate on best practices related to key compliance topics.


Template Documents

Includes customizable templates for Policy & Procedure Manual, ADV 2A, Privacy Policy, and Client Contracts for various types of client relationships.


Consulting

Includes an additional layer of compliance support by coordinating with compliance consultants or internal compliance team members to help navigate the regulatory environment.

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