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- Wealth Management Platform
- Implementation and migration
How a Wealth Management Platform rollout works
Start with one advisor's client book and one custodian the operations team can reconcile.
Agree the operating boundary
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.
Map the source data
Bring counterparties with eligibility notes, instruments, custodian accounts, open instructions and orders, and the last approved household values.
Configure a bounded pilot
Pilot one advisor's client book with one custodian. Route new instructions through review and verify evidence for each one.
Rehearse the exceptions
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.
Reconcile and release
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.
What the customer provides
- Counterparties with contacts and eligibility notes.
- Instruments, custodian accounts and household groupings.
- Open instructions and orders with their current status.
- Review, authorization and tolerance policies.
- The last approved month-end positions and household values.
Changing it afterwards
Use Proto to prepare changes on a branch. Review changed fields, permissions and reports with the operations lead and the reviewers. Replay the pilot’s exception cases before release. Decisions already recorded keep the version they were made on.
Set up Wealth Management Platform your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.