Notes on automating an advisory firm

What is worth automating, what the tools actually allow and what the rules require. Written by Daniel Lubin, who builds these systems.

• November 9, 20267 minute readWealthbox automation: 7 workflows worth building, and what the API allowsWhat you can automate in Wealthbox, what its API can and cannot do, and the seven workflows advisory firms get the most from, in build order.
• November 9, 20266 minute readSpeed to lead for financial advisors: how fast to reply, and how to do itHow fast an advisory firm should answer a new inquiry, what the research says, what the first reply should contain and how to get there without adding staff.
• November 9, 20266 minute readHow to automate client onboarding at an advisory firm, step by stepWhich parts of advisory client onboarding to automate, the document checklist to ask for, a reminder schedule that works and the mistakes to avoid.
• November 9, 20266 minute readAI and automation compliance for RIAs: the four rules to design aroundHow Regulation S-P, the Books and Records Rule, the Marketing Rule and SEC scrutiny of AI claims shape what an advisory firm can automate, with a checklist.
• November 9, 20265 minute read20 questions to ask an AI or automation vendor before they touch client dataA due diligence list for advisory firms: 20 questions for any AI or automation vendor on data, access, supervision, incidents and contracts, with good answers.