Wealth Management Platform runs the operational side of advising clients: the instructions advisors raise, the independent review that authorizes them, the submission to the provider, the evidence that comes back and the reconciliation of custodian portfolios. A Wealth Advisor drafts each instruction with its subject, requested amount, instrument and counterparty and submits it for review.
authorized waits for the compliance reviewer
| Record number | Subject | Owner | Counterparty | Requested amount USD | Revision | |
|---|---|---|---|---|---|---|
| INS-64804 | Rebalance Alder family taxable account | Theo Alvarez | Eastbank Settlement Co. | 800 | 330 | |
| INS-56978 | Fund Morrow retirement withdrawal | Samir Qureshi | Birchline Clearing | 270 | 760 | |
| INS-68387 | Raise cash for Serrano tuition | Rafael Costa | Larkspur Capital Services | 820 | 290 | |
| INS-10833 | Invest Bellamy charitable contribution | Samir Qureshi | Stonebridge Brokerage | 640 | 920 | |
| INS-29634 | Transfer Vale joint account assets | Samir Qureshi | Stonebridge Brokerage | 340 | 80 |
Compliance Reviewer decides each submitted instruction version before it is authorized.
Every feature works on the same records. Pick one to see the screen your team works in.
Raise each client instruction with its amount, instrument and counterparty, and follow it to confirmation.
Verified waits for the operations analyst
| Record number | Subject | Counterparty | External instruction ID | Provider reference | Requested amount USD | |
|---|---|---|---|---|---|---|
| INS-49775 | Rebalance Alder family taxable account | Redwood Trade Services | INS-2026-1042 | CUST-643918 | 510 | |
| INS-45612 | Fund Morrow retirement withdrawal | Bluewater Custodial Group | INS-2026-1043 | CUST-643919 | 670 | |
| INS-97995 | Raise cash for Serrano tuition | Crescent Custody Partners | INS-2026-1044 | CUST-643920 | 750 | |
| INS-28055 | Invest Bellamy charitable contribution | Bluewater Custodial Group | INS-2026-1045 | CUST-643921 | 220 | |
| INS-11932 | Transfer Vale joint account assets | Larkspur Capital Services | INS-2026-1046 | CUST-643922 | 620 |
Record an independent decision to approve, reject or return the exact version of each instruction.
Review decisions
| Parent | Source revision | Decision | Reason | Reviewer | Decided at | |
|---|---|---|---|---|---|---|
| Rebalance Alder family taxable account | 320 | Approve | Allocation matches signed client mandate | Theo Alvarez | 15 Oct | |
| Raise cash for Serrano tuition | 210 | Return | Limit price exceeds approved range | Samir Qureshi | 28 Oct | |
| Distribute Wren foundation grant | 530 | Approve | Independent review confirms cash balance | Amara Brooks | 30 Oct | |
| Raise cash for Serrano tuition | 320 | Return | Client signature missing on amendment | Rafael Costa | 28 Oct | |
| Invest Bellamy charitable contribution | 90 | Approve | Concentration remains within policy | Theo Alvarez | 18 Oct |
Draft buy and sell orders for custodian accounts, authorize them and record executions from custodian evidence.
Authorized waits for the trading operator
| Account | Instrument | Side | Order type | Quantity | Limit price USD | |
|---|---|---|---|---|---|---|
| Ortega rollover IRA | Prairie infrastructure bond 2035 | Buy | Market | 390 | 910 | |
| Serrano education trust | Willow Creek cash reserve fund | Sell | Limit | 770 | 250 | |
| Ortega rollover IRA | Silverbrook short duration fund | Buy | Market | 400 | 660 | |
| Khan family income account | Summit Treasury ladder 2028 | Sell | Limit | 870 | 100 | |
| Khan family income account | Ridgeway global equity fund | Buy | Market | 480 | 600 |
Verify the provider's execution evidence against each instruction before it is confirmed.
Verified waits for the operations analyst
| Parent | Line number | Provider event ID | Executed quantity | Executed price USD | Fees USD | |
|---|---|---|---|---|---|---|
| Rebalance Alder family taxable account | 150 | EVT-886401 | 810 | 880 | 70 | |
| Fund Morrow retirement withdrawal | 490 | EVT-886402 | 440 | 460 | 950 | |
| Distribute Wren foundation grant | 520 | EVT-886403 | 830 | 860 | 820 | |
| Invest Bellamy charitable contribution | 230 | EVT-886404 | 100 | 810 | 660 | |
| Renew Ortega bond ladder | 110 | EVT-886405 | 590 | 360 | 640 |
Load custodian positions as of a date and approve household portfolio snapshots against the custodian.
Approval conditions
| Household | As of date | Custodian reference | Market value USD | Instrument ref | Revision | |
|---|---|---|---|---|---|---|
| Alder household | 11 Oct | ACCT 487231 | 190 | Harborstone income fund, Class A | 410 | |
| Morrow household | 03 Nov | ACCT 592840 | 830 | Ridgeway global equity fund | 920 | |
| Serrano household | 02 Nov | ACCT 314678 | 940 | Prairie infrastructure bond 2035 | 410 | |
| Bellamy household | 30 Oct | ACCT 708451 | 380 | Summit Treasury ladder 2028 | 150 | |
| Vale household | 25 Oct | ACCT 826395 | 830 | Willow Creek cash reserve fund | 650 |
Keep a receipt of every guarded action and its outcome, with supporting files on each instruction.
Operation receipts
| Parent | Action | Operation key | Result state | Occurred at | Failure reason | |
|---|---|---|---|---|---|---|
| Transfer Vale joint account assets | Submit trade order | trade-order-3128 | Pending | 22 Oct | Custodian rejected account status | |
| Rebalance Alder family taxable account | Confirm client instruction | instruction-confirm-1042 | Failed | 27 Oct | Instrument unavailable at venue | |
| Reduce Khan portfolio concentration | Reconcile portfolio positions | position-reconcile-410 | Needs review | 17 Oct | Order exceeded cash balance | |
| Invest Bellamy charitable contribution | Record execution evidence | execution-record-771204 | Pending | 19 Oct | Provider response timed out | |
| Invest Bellamy charitable contribution | Reverse duplicate execution | reversal-770891 | Failed | 21 Oct | Duplicate execution reference |
Instruction to confirmation ships ready to use. 2 steps need a named approval before the work moves on: Review instruction (Compliance Reviewer) and Reconcile portfolio (Operations Analyst).
Record the client request with amount, instrument, counterparty and mandate.
Approve, return or reject the submitted version with a reason.
Send the authorized instruction once through the approved provider connection.
Check the provider's quantity, price and fees against the instruction.
Confirm the instruction with its provider reference once evidence is verified.
Approve the household snapshot against the custodian's positions.
Open any instruction to see its execution evidence, the roles that work on it, its process stages and its approvals on one page.
Owner, Counterparty, Requested amount USD and Revision.
Each line is linked to this instruction.
Wealth Advisor, Compliance Reviewer and Trading Operator, each with their own permissions.
Draft instruction and Review instruction, with the role that acts.
Review instruction and Reconcile portfolio, with who decides.
Eastbank Settlement Co.
| Parent | Line number | Provider event ID |
|---|---|---|
| Rebalance Alder family taxable account | 150 | EVT-886401 |
| Fund Morrow retirement withdrawal | 490 | EVT-886402 |
| Distribute Wren foundation grant | 520 | EVT-886403 |
Signed in as Compliance Reviewer
| Decision | Approver | |
|---|---|---|
| Review instructionApprove, return or reject the submitted version with a reason. | Compliance Reviewer | |
| Reconcile portfolioApprove the household snapshot against the custodian's positions. | Operations Analyst | |
| Approve Instructions | Compliance Reviewer | |
| Approve trading orders | Trading Operator | |
| Approve portfolio snapshots | Operations Analyst |
Everyone opens Wealth Management Platform to the work that is theirs. Pick a role to see what it starts with.
Raises client instructions and trading orders, keeps the client mandate on file and owns each instruction to confirmation.
This is the first screen this role sees.
Trading orders · Wealth Advisor
| Account | Instrument | Side | Order type | Quantity | Limit price USD | |
|---|---|---|---|---|---|---|
| Ortega rollover IRA | Prairie infrastructure bond 2035 | Buy | Market | 390 | 910 | |
| Serrano education trust | Willow Creek cash reserve fund | Sell | Limit | 770 | 250 | |
| Ortega rollover IRA | Silverbrook short duration fund | Buy | Market | 400 | 660 | |
| Khan family income account | Summit Treasury ladder 2028 | Sell | Limit | 870 | 100 | |
| Khan family income account | Ridgeway global equity fund | Buy | Market | 480 | 600 |
Independently reviews each submitted instruction version and records the decision to approve, reject or return it.
This is the first screen this role sees.
Instructions · Compliance Reviewer
Authorizes advisor-reviewed trading orders against the client mandate and records executions from custodian evidence.
This is the first screen this role sees.
Trading orders · Trading Operator
| Account | Instrument | Side | Order type | Quantity | Limit price USD | |
|---|---|---|---|---|---|---|
| Ortega rollover IRA | Prairie infrastructure bond 2035 | Buy | Market | 390 | 910 | |
| Serrano education trust | Willow Creek cash reserve fund | Sell | Limit | 770 | 250 | |
| Ortega rollover IRA | Silverbrook short duration fund | Buy | Market | 400 | 660 | |
| Khan family income account | Summit Treasury ladder 2028 | Sell | Limit | 870 | 100 | |
| Khan family income account | Ridgeway global equity fund | Buy | Market | 480 | 600 |
Submits authorized instructions to the provider, verifies execution evidence, approves portfolio reconciliations and resolves operation exceptions.
This is the first screen this role sees.
Portfolio snapshots · Operations Analyst
| Household | As of date | Custodian reference | Market value USD | Instrument ref | Revision | |
|---|---|---|---|---|---|---|
| Alder household | 11 Oct | ACCT 487231 | 190 | Harborstone income fund, Class A | 410 | |
| Morrow household | 03 Nov | ACCT 592840 | 830 | Ridgeway global equity fund | 920 | |
| Serrano household | 02 Nov | ACCT 314678 | 940 | Prairie infrastructure bond 2035 | 410 | |
| Bellamy household | 30 Oct | ACCT 708451 | 380 | Summit Treasury ladder 2028 | 150 | |
| Vale household | 25 Oct | ACCT 826395 | 830 | Willow Creek cash reserve fund | 650 |
Loads custodian position snapshots and prepares household portfolio snapshots for reconciliation.
This is the first screen this role sees.
Portfolio snapshots · Portfolio Accountant
| Household | As of date | Custodian reference | Market value USD | Instrument ref | Revision | |
|---|---|---|---|---|---|---|
| Alder household | 11 Oct | ACCT 487231 | 190 | Harborstone income fund, Class A | 410 | |
| Morrow household | 03 Nov | ACCT 592840 | 830 | Ridgeway global equity fund | 920 | |
| Serrano household | 02 Nov | ACCT 314678 | 940 | Prairie infrastructure bond 2035 | 410 | |
| Bellamy household | 30 Oct | ACCT 708451 | 380 | Summit Treasury ladder 2028 | 150 | |
| Vale household | 25 Oct | ACCT 826395 | 830 | Willow Creek cash reserve fund | 650 |
Maintains organizations, counterparties, instruments, trading accounts, team members and access without taking client decisions.
Review the instruction pipeline, order fills, execution costs, household values and operation exceptions.
This quarter
How far records got this quarter
| Stage | Reached | Step | |
|---|---|---|---|
| Draft | 46 | ||
| Review | 21 | 46% | |
| Authorized | 11 | 52% | |
| Submitted | 5 | 45% |
Sample totals per stage
Count Instructions and total requested amount USD by Status and Owner.
Total requested amount USD on Instructions by Counterparty, then by Status.
Count trading orders by Account, then by Side and Status.
Total Executions Quantity, price USD and fees USD by Instrument of the linked order.
List execution evidence lines in Pending or Rejected with their instruction, quantity, price and fees.
Total market value USD on portfolio snapshots by Household and as of date, for Approved and Completed snapshots.
Compare Quantity times mark price USD with cost basis USD on position snapshots by Account and Instrument.
Group position snapshots by Instrument asset class, then by Account.
Count review decisions by Decision and Reviewer with their reasons.
See how Wealth Management Platform fits your kind of team.
Give a small advisory team a reviewed path from client request to confirmed instruction.
Run payments, subscriptions and trades for a family's households and entities with clear approvals.
Coordinate many advisors, a trading desk and an operations team across custodians and counterparties.
Each stage of instruction to confirmation names the role that acts and the status it records, so a change is never anonymous.
Each stage, the role that acts and the status it records
Prepare and review instructions, orders and reconciliations with Proto.
Set up connections through ERP.AI and Proto workflows, with every change logged.
Every record lives in a table you can see, extend and export. Add fields or whole tables in Proto.
Browse all 16 tablesStart with one team and one process, then add the rest once the basics are running.
The scope is wealth operations: instructions, independent review, provider submission, execution evidence, trading orders, executions, positions and portfolio reconciliation. Custodians, providers, market data, client reporting and accounting remain connected systems. Investment decisions and suitability stay with the firm’s advisors; Proto prepares configuration for review.
Bring counterparties with eligibility notes, instruments, custodian accounts, open instructions and orders, and the last approved household values.
Pilot one advisor’s client book with one custodian. Route new instructions through review and verify evidence for each one.
Return an instruction and approve the revised version. Retry a submission after a timeout. Reject evidence with an unexpected fee. Reject a snapshot with a missing corporate action and approve the corrected version.
Compare open instructions, orders and household values with the source and the custodian. Obtain the operations lead’s acceptance and agree the rollback window before adding advisors.
$0per user
The base account and everyday work in the ERP.AI app are free, for every user.
| Usage | Per $1 |
|---|---|
| Record reads (list, filter, get) | 20,000 |
| Search or aggregate queries | 4,000 |
| Record writes | 4,000 |
| Imported or synced records | 200,000 |
| Workflow runs | 2,000 |
| AI agent runs | 2,000 |
| Scheduled jobs or webhooks | 20,000 |
| File uploads (MB) | 2,000 |
| CSV or PDF exports | 100 |
Click Get started, then use Proto to configure Wealth Management Platform for your business. Pilot one advisor's client book with one custodian: route new instructions through review, verify evidence for each one and reconcile one month-end before adding advisors.
A Compliance Reviewer who does not own the instruction approves, returns or rejects the submitted version with a reason. A change after submission needs a new decision.
Each guarded action uses a stable operation key. A retry with the same key returns the original receipt and does not send the instruction again.
When the provider's execution evidence has been verified against the instruction's quantity, price and fees.
The advisor drafts the order, a Trading Operator authorizes it against the client mandate and positions, and fills are recorded from custodian evidence until the order is Filled.
Position snapshots are loaded from the custodian as of a date. The Portfolio Accountant prepares the household snapshot, and the Operations Analyst approves or rejects it.
No. Advisors make investment decisions and draft orders. The platform records, reviews and reconciles the resulting work.
Yes. Each trading account names its custodian, and position snapshots keep each custodian's snapshot ID.
Prepare counterparties, instruments, accounts, open instructions and orders, and last month-end values with stable identifiers. Rehearse on one client book and reconcile before moving the rest.
Ordinary manual use has no per-user charge under the platform policy. Imports, integrations, agent execution and other machine work consume prepaid credits; implementation is scoped separately. The pricing page lists the current rates.
Start free, then use Proto to change fields, steps and approvals before your team goes live.