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.
Joans works with RIA leadership on technology strategy, architecture, data and security controls, service operations, platform and provider decisions, and implementation. The work is shaped around the firm’s fiduciary responsibilities, existing systems and specialist providers.
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.
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.
CRM
Planning
Portfolio
Documents
Microsoft 365
CONTROLLED INPUT
Authorized client context
PREPARATION
Integration and automation
AUTHORITY
Adviser review and record
CRM, planning, portfolio, document and Microsoft 365 systems provide authorized client context. Controlled integration or automation prepares information for adviser review, and the approved record returns to the authoritative system.
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.