OnBord

Thank you for having us Jac Anderson and Simplicity Ops! If you didn't get a chance to join the webinar, you can watch the replay below. https://lnkd.in/eHcbuteV Nick Bernardo, CFP® Jake Mingione

Do you like filling out forms? Neither do we! Stop by our booth at Schwab Impact to learn how OnBord can help streamline your new client experience. #schwabimpact

The OnBord team will be at Schwab Impact in San Francisco next week! Please reach out to Nick Bernardo, CFP® or Jake Mingione if you would like to set up some time to discuss OnBord or visit our booth in tech alley (Booth #14). We look forward to seeing you there.

Still drowning in compliance paperwork? There's a better way to handle FINRA and SEC requirements while keeping your firm growing. As M&A activity continues and more advisors transition between firms, keeping up with regulatory compliance can feel daunting. The truth is, we talk to firms all the time that struggle to balance FINRA or SEC requirements with efficient operations. Here’s what matters: You don't need to choose between growth and compliance. Think about this: Those manual processes eating up your team's time? They can be automated. Worried about security? Modern solutions handle that automatically. Need quick access to records? Digital systems make it instant. Here’s how we’ve made compliance simple: ✓Smart monitoring catches issues before they happen ✓No sensitive data is stored on our systems ✓Every action is tracked and logged Want to see what modern compliance looks like? We're helping firms reduce their paperwork time while staying 100% compliant. #AdvisorTransitions #ClientOnboarding Full Blog: https://lnkd.in/erWQw_4J Nick Bernardo, CFP® Grier Rubeling Jake Mingione John Bernardo Ali McCarthy, Ph.D. Marc R. Butler

M&A activity continues to grow, making effective transition software essential for attracting top advisor talent. Here's what firms need to know about choosing the right technology solution. Your technology stack directly impacts advisor recruitment success. Yet 88% of firms still rely on manual processes, creating serious roadblocks to growth. The gap is clear: while clients expect responses within minutes, manual transitions can drag on for weeks. Key Considerations for Transition Software: 1) Speed and Efficiency 2) Compliance and Security 3) Client Experience 4) Integration Capabilities The Impact on Your Business: -Faster advisor onboarding -Higher client retention rates -Reduced operational costs -Better competitive position Whether you're bringing on wirehouse or independent advisors or managing M&A transitions, effective technology can transform your advisor recruitment results. Ready to improve your transition process? See how OnBord's simple, secure solution can help you attract more advisors. #AdvisorTransitions #ClientOnboarding https://lnkd.in/eSDkjxYg Nick Bernardo, CFP® Jake Mingione Grier Rubeling John Bernardo Marc R. Butler Ali McCarthy, Ph.D.

Digital onboarding can reduce account opening time by up to 70% while strengthening compliance and improving client satisfaction. Here's what you need to know. Wealth management firms are embracing digital transformation. Yet many still rely on outdated, manual onboarding processes that frustrate clients and limit growth. Traditional onboarding creates common problems: - Multiple rounds of paperwork - Repetitive data entry - Slow verification processes - Compliance risks Digital solutions solve these issues by offering: Speed: Complete account openings in minutes, not days Accuracy: Remove manual errors and duplicate entries Security: Better fraud detection and identity verification Compliance: Automated regulatory checks and documentation The numbers tell the story: firms using digital onboarding see up to 40% higher client retention rates in their first year. When evaluating digital onboarding tools, focus on: - Mobile-first design - Multiple communication channels - Smooth integration with your current systems - Strong security features - Reliable support and training Modern clients want simple, digital experiences – and they'll switch providers to get them. Ready to improve your client onboarding? See how OnBord can help you build a faster, more secure, and client-friendly process. #AdvisorTransitions #ClientOnboarding Nick Bernardo, CFP® Grier Rubeling Jake Mingione John Bernardo Marc R. Butler

Financial advisors are moving firms at unprecedented rates. With the right tech, you can transfer your entire book of business in just 30 days. Here's how: Advisor transitions are becoming increasingly common. With M&A activity on the rise and the average age of financial advisors hovering around 60, we're seeing a surge in practice transitions. But here's the catch: these transitions are often more complex and time-consuming than they need to be. The Old Way vs. The New Way Traditionally, transitioning a financial advisor's practice could take months, involving manual processes, compliance headaches, and potential disruptions to client service. Modern digital solutions are helping solve the largest pain points: 1. Speed: Believe it or not, entire books of business can now be transferred in as little as 30 days. 2. Compliance: Built-in safeguards ensure adherence to SEC/FINRA regulations, particularly crucial in the post-U5 environment. 3. Client Experience: Digital processes, including electronic signatures and pre-filled forms, create a seamless experience for clients. What This Means for You Whether you're a firm bringing on new advisors or an individual advisor looking to make a move, the implications are significant. Faster transitions mean quicker revenue protection. Enhanced compliance measures reduce regulatory risks. And a smooth client experience? That's priceless for maintaining trust and relationships. But there's more to this story. Check out our full blog post on Financial Advisor Transitions. Don't let outdated transition processes hold you back. The future of advisor transitions is here – and it's faster, more secure, and more client-friendly than ever before. #AdvisorTransitions #ClientOnboarding https://lnkd.in/gB8uP8-T Nick Bernardo, CFP® Grier Rubeling Jake Mingione John Bernardo

Is transitioning from a Broker Protocol firm significantly more advantageous than doing so from a Non-Protocol firm? Let's break it down. 💡 The Broker Protocol allows for the retention of the following data: ✅ Client Names ✅ Client Phone Numbers ✅ Client Emails ✅ Client Addresses ✅ Account Registrations Some firms that aren't currently members of the Protocol tend to enforce, or threaten enforcement of, non-solicitation clauses. Which means that the data you're allowed to bring with you is not the only issue that needs to be considered as part of the process. Being able to bring the information above is preferrable, but those 5 data points are certainly not enough to establish new accounts and initiate transfers on their own. At the very least, regardless of the custodian you're using, you will need the following data in addition to the Protocol data: ☑ Client SSNs ☑ Client DOBs ☑ Client Employment Information ☑ Account Numbers ☑ Account Beneficiary Information Do you have a plan for efficiently (and securely) collecting this information? Storing it? Using it to process account opening and transfers? Is your process scalable? Repeatable? Fast? What if there was one software you could use to do it all, regardless of whether it's a Protocol or Non-Protocol transition? A tool with the capability to send a text message to a client requesting that they securely provide some missing information. With a feature that can include a request for signature on a non-solicitation letter (if needed). Or a link to upload a recent statement for review? The ability to use your own branding and craft your own message, and the option to use the process on an ongoing basis, even after the transition is complete. Would that interest you? If so, OnBord might be for you. We invite you to take a demo. Link to Jake Mingione's scheduler in the comments. 👇 Let us help you make this process easier. Protocol or not, data needs to be collected. Why not use the same process for collection, regardless of the firm you're leaving? #transitions #ria #fintech

Are you an advisor considering a transition from a non-protocol firm? Do you have a non-solicitation clause in your contract that you're worried about? 🕐 Step 1: Talk to an attorney and have your contract reviewed. Ask about having a non-solicitation letter drafted that clients can sign as part of the process. 🕑 Step 2: Schedule a demo with Jake Mingione to see how you can use OnBord's transition technology to send those letters to clients quickly and efficiently. 🕒 Step 3: Continue your transition due diligence knowing full well that you have a technology partner that will help you send signature requests, gather client information, populate your CRM, and autofill custodial forms and firm documents. Non-Protocol transitions don't have to be scary. They don't even have to be difficult. But they do need to be managed properly. OnBord can help. Let us show you how! #fintech #RIA

Transform the tedious 120-minute task of client onboarding into a swift 60-minute process. OnBord simplifies and accelerates data collection and CRM integration, turning your efficiency up a notch. https://lnkd.in/dCYW2TEi #ClientManagement #ClientOnboarding