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Executive Assistant

  • Confirm appointments
  • Schedule meetings
  • Scan documents and upload virtual files
  • Print, assemble & mail portfolio reports, invoices and correspondence
  • Send out birthday cards/gifts and update compliance logs
  • Track and update CE (Continuing Education) credits

Portfolio Management

  • Place & follow up on trades
  • Run portfolio reports
  • Update client database and other software as needed on Portfolio Management systems


  • Process & follow-up on new account applications and transfers
  • Process & setup new clients in custodian systems and advisor databases
  • Handle account administration problems for clients
  • Handle cashiering and other money movement requests
  • Check current account values for clients with recurring withdrawals
  • Cost Basis reports
  • Terminate client/advisor relationships & process refunds
  • Prepare & send monthly/quarterly invoicing and deduct fees from client accounts
  • Answer accountant and attorney requests for client information
  • Answer incoming client calls
  • Year End Tax Planning
  • Setup Required Minimum Distributions (RMD) for retirement accounts
  • Tax Reporting
  • Setup recurring IRA contributions


  • Print, assemble & mail marketing packets
  • Create & send out DRIP marketing program
  • Website maintenance & updates
  • Online social networking (working with marketing staff)


  • Review compliance manuals
  • Review & update compliance logs and forms
  • Coordinate with compliance to update and send annual ADV and Privacy Policy notices


  • Balance checkbook and update accounting records
  • Pay bills and taxes


  • Prepare materials for client meetings
  • Prepare & send quarterly portfolio reports

IT Support

  • Basic office software troubleshooting
  • Cloud service troubleshooting and training
  • Cloud e-mail and office solutions
  • Mobile device configuration and troubleshooting
  • Security awareness training (offered 2x per year)
  • Security software installation and configuration
  • Proactive threat monitoring and reporting
  • Basic system & network monitoring and remote support access with end-user alerting
  • SPAM & Antivirus E-mail Gateway
  • Indefinite e-mail Archiving and Retention
  • Full hard drive encryption
  • Project consulting, design and implementation
  • Backup services