What FocusPoint can Offer You

An Overview of Our Services

Daily administrative/account-related activities

Customize automated workflow for your business processes
RMD and other distribution setup and maintenance
Ensure new paperwork/assets are received and properly executed by custodian
As documents are scanned in, create individual folders and post scanned documents into proper account records
Account transfer follow up and follow through
Daily uploads/downloads/reconciliation/price updates
Communication with custodian about requests received (transfer outs, restriction notices, etc.)

Trading

Trading of your portfolios or ours
Liquidation of assets as needed for fees and other (systematic) withdrawal requests
Regular review/rebalancing (based on your criteria; typically quarterly to ensure they're invested according to their investment model)

Reporting

Annual and other regular reports
Basic reporting (annual realized gain/loss reports and estimated 1099 dividend information for taxable accounts
Custom reporting for individual client needs (1099, unrealized gain/loss, etc.)
Cost basis tracking for incoming securities

Billing

Investment management and market research (your portfolios or ours)

Regular (typically monthly) account review
Regular review/rebalancing (based on your criteria; typically quarterly to ensure accounts are invested according to their investment model)
Special asset strategies
Client-ready, customizable quarterly advisor communications on broad market topics
Weekly market missive communications
Weekly index and investment performance
Access to communication with a full-time CFA team and investment committee
Periodic commentary on market action and/or timely topics

Investment management and market research (FocusPoint models only)

Advisor transitions

Customization of client transition plan and timeline
Completion of all relevant client paperwork related to transition
Custodian and asset review/analysis/approval
Establishment of advisor firm with custodian (as applicable)
Assistance with client meeting and communication materials related to transition
New account setup and transfer of cost basis information as applicable
Trading on new accounts to set them to the portfolios you choose

Practice management

Plug into fully integrated virtual office, including o CRM (data conversion as applicable)
- Portfolio management software o Reporting software
- Online document storage o Client vault (accessible via your website)
- Investment policy statement generation (FocusPoint portfolios only)
Ongoing technology/software training and upgrades/enhancements
Offsite server hosting and maintenance
Nightly and weekly client data backup
Email hosting (optional)

Basic assistance/guidance with RIA formation
ADV review
Broker/dealer compliance coordination (as applicable)
Basic ongoing RIA compliance support
Most all RIA compliance-related activities
Assistance with documents associated with audits
Option of retaining comprehensive compliance support through offsite legal counsel (additional fee)