1. Veo One / Schwab / Custodians
1.1. Daily Custodian Alerts
1.1.1. Cash Debits/NSFs/Upcoming NSFs
1.1.1.1. Submit Task to free up cash
1.1.2. Called Bonds, etc.
1.1.2.1. Notify the advisory team
1.2. Nationwide/formerly Jefferson National
1.2.1. Review Accounts and check to ensure proper allocations/tolerance levels
1.3. NuView Trust/Alternative Inv. Custodians: Check quarterly for cash balances/when notified of distributions resulting in client cash positions
1.3.1. Notify advisory team and have funds rolled over/transferred to the client's TDAI/Schwab account
2. Eclipse/Trading
2.1. Review: model sleeves, variances, settings, preferences
2.2. Large Holdings Trades
2.2.1. Update Models
2.2.1.1. Eclipse
2.2.1.1.1. ORION-Models
2.2.1.2. iRebal
2.2.1.3. Dorsey Wright
2.2.1.4. Shared File
2.2.2. • Determine when the holding was acquired o If close to long-term gains then hold off o If not then proceed with trade • Check restricted accounts • Check to see if any accounts still hold the sold position • Run cash report
2.2.2.1. Trade Checklist • Ensure correct account is included • Determine which trade tool to use o Global Trades: Replacing one security with another o Rebalance: Full rebalance of account o Spend Cash: Invest specified cash amount into the model o Raise Cash: Generate specified cash amount o Cash Needs: Invest/raise cash to the model level o Tactical Tool: Manually generate trades • Ensure there is enough cash in the account to make suggested trades • Send Salesforce action to Research Analyst to approve trades • Execute trades • Determine if account allocation is in line with target o If yes then done o If no then reach out to advisor with suggested trades
2.3. Communicate/verify all model trades to the advisory teams
2.4. Check the NEW ACCOUNTS tab weekly, assign or communicate as necessary
3. Allocations
3.1. Model Portfolios
3.1.1. Growth
3.1.2. Moderate
3.1.3. Conservative
3.1.4. Income
3.1.5. Above models stock variations
3.2. Stock Portfolios
3.2.1. Master Stock Model
3.2.2. Dividend Model
3.2.3. Best 10 Model
3.2.4. Mid-Cap Model
3.3. Cash Balance Report
3.3.1. Run weekly and provide to advisory teams by advisor with suggestions
3.3.1.1. Save the Excel file in eforms/Investments/CashBalanceReports
3.3.2. Run 2-3 days prior to month end
4. CRM/Salesforce
4.1. Team Cases
4.2. Team Tasks
4.2.1. Trade-related
4.2.1.1. Free up cash
4.2.1.2. Invest cash
4.2.1.3. Other Trades
5. Dorsey Wright
5.1. Review alerts
5.1.1. Share with advisory teams and recommend action for each item
5.2. Review models and current portfolios and matrixes for RS
5.2.1. Wednesdays: review matrices for potential movements
5.2.1.1. export the weekly rankings
5.2.1.1.1. Core Equities
5.2.1.1.2. Sector Equities
5.2.1.1.3. Fixed Income
5.2.1.1.4. Commodities, if applicable
5.2.1.1.5. International, if applicable
5.2.1.1.6. Currencies, if applicable
5.3. Read and save the Daily Equity Report
5.3.1. e-forms\INVESTMENTS\Dorsey Wright\Daily Equity Reports
5.4. Research stock ideas
6. Alternative Investments
6.1. BlueVault Report
6.1.1. Provide advisory team with summary and analysis when requested or as part of portfolio review
6.1.2. Save and notify advisory teams of updated reports available for current holdings
7. Compliance
7.1. Trade Files
7.1.1. save weekly trade files on Friday afternoon to: e-forms\INVESTMENTS
7.2. Quarterly Reporting
7.2.1. 13-F
7.2.2. 401k Allocations for select clients/model updates
7.2.3. Cash Report prior to Billing
7.2.4. Best Execution Documents updates
7.2.5. Review Exception Accounts
7.2.6. Review Discretionary vs. Non-Discretionary Accounts
7.3. Trade Errors
7.3.1. Documentation and proper forms
7.3.1.1. Notify CCO and Operations
7.4. Run out of tolerance report/review portfolios for out of tolerance holdings, rotating households
7.4.1. Notify the advisory team via CRM Task for action to take
7.5. Investment Policy Statement Updates
7.5.1. Update in Eclipse
7.5.2. Update in iRebal
7.5.3. Update in running shared document
7.5.3.1. e-forms\INVESTMENTS\IPS Updates
7.6. Track Model Updates in shared document
7.6.1. e-forms\INVESTMENTS\Affinity Asset Allocation\Allocation\Model Updates
7.7. Check for unassigned accounts
7.8. Check for restricted holdings/have advisory teams provide restrictions for new and existing clients
7.9. Ex-clients: outgoing transfers, closings or deceased clients: block accounts / household at custodian, Trading platforms and Orion
7.10. Review all current holdings/mutual funds for institutional share class option
7.10.1. if available, notify client(s) and do a conversion; this should also be done for any new client transferring mutual funds in
8. Investment Committee
8.1. Presentation
8.2. Performance of current holdings YTD/since added
8.3. Markets Outlook Event slides and content
9. Research
10. Portfolio Analysis
10.1. Pre-Strategy Meeting Tasks:
10.1.1. o Model: o Current Value: o Holdings outside the model: o Restrictions: o Buy/sell/hold: o Allocation o Rebalance: o Stock model review: o Cash floors o Tax optimization: o Household by account or portfolio: o IPS consistent across Orion/Eclipse/SharePoint: o Corporate actions: o Alternative investments if necessary: