3 FOR HOME OFFICE AND ADVISOR USE ONLY. NOT FOR DISTRIBUTION TO THE PUBLIC.
7 Onboarding and Ongoing Support-Related Questions
• What is a typical onboarding and implementation timeline for a new RIA client, and what key milestones
should be expected along the way?
• What services and resources are provided to assist with the migration of historical client, account, and
performance data from our current systems into your platform?
• What training options are available to ensure our staff is fully equipped to use the platform at launch?
• Will a dedicated onboarding or implementation manager be assigned to our firm during the setup process?
• How will the dedicated manager coordinate with our internal team?
• Will we have access to a dedicated account manager or client success representative for ongoing support
and relationship management?
• What ongoing training resources or refresher sessions are available for new features or for onboarding new
members of our team?
4 Operating Model/Business Requirements-Related Questions
• What are the potential advantages of a platform that allows my advisors to outsource trading via a Unified
Managed Account (UMA)?
• Is there an option to incorporate tax management into UMAs?
• Does your platform allow my advisors to reduce the number of "swivel chair actions" they take in a day?
If so, how?
• How often do you share your roadmap for product development enhancements?
