Wealth Management
Support Services
Smarter Operations. Cleaner Data. Faster Processing.
Wealth management operations demand precision, speed, and airtight accuracy. From reconciling account data to setting up portfolios and validating holdings, even minor errors can create major compliance risks. Employee Pooling’s dedicated Wealth Management Support helps you eliminate bottlenecks, reduce NIGOs, and maintain complete operational accuracy. Without adding internal headcount.
Our financial specialists support BGAs, RIAs, IMOs, and hybrid wealth/insurance firms with end-to-end processing, verification, and documentation across multiple custodial and CRM platforms. Whether your team is managing high trading volume, expanding into new investment lines, or looking to reclaim valuable advisor time, EP ensures your back office stays running at peak performance.
More Efficient Wealth Management Operations
EP’s Wealth Management Support gives your team accurate, compliant, and scalable back-office help, without adding staff. From suitability cleanup to portfolio setup, we handle the details so you can focus on clients and growth.
-
Ensure every request is captured, validated, and processed efficiently. We handle:
- Incoming requests such as cash moves, partial liquidations, full liquidations, and portfolio change requests (PDF or digital)
- Validation of key details like account numbers, ownership, and transaction type
- Complete review for accuracy before submission into your workflow
-
Strengthen compliance and reduce downstream errors with clean, current records. Our team:
- Confirms the most recent signed suitability documents
- Reviews all paperwork for accuracy, completeness, and outdated information
- Creates or updates Suitability and Client Profile records
- Flags exceptions and places cases on hold when details are missing or incorrect
-
Accurate account details are the backbone of compliant and efficient operations. We perform:
- Multi-platform verification of balances, NAVs, cash values, holdings, and more
- Matching of transactions with official custodian statements
- Identification and documentation of any NIGO discrepancies for quick resolution
-
A clean, properly configured portfolio ensures advisors and processors can move quickly. EP handles:
- Portfolio creation in your CMS (IGO only)
- Setting up investment accounts and sub-accounts based on statements, CUSIPs, and ticker details
- Reporting NIGO items to case managers or processors for fast corrections
- Secondary QA review to ensure accuracy and completeness
-
We ensure every portfolio reflects accurate, compliant, and up-to-date investment information. Our team verifies:
- Holdings against custodial statements
- Ticker symbols, CUSIPs, valuations, and risk categories
- Sub-account organization and categorization (value, date, risk level, and more)
-
Keep every document secure, accessible, and compliant with your preferred system. We support:
- Secure storage in client-driven document storage platforms
- Tailored workflows based on your firm’s document protocols
EP’s Wealth Management Support integrates seamlessly with the systems you use today—and scales effortlessly as your operations grow.
Why Choose EP for Wealth Management Support?
01
Accuracy that protects your business
Every portfolio and account setup undergoes strict review and verification.
02
Less time on admin, more time on clients
Advisors, processors, and operations teams get back hours of productive work.
03
Lower NIGOs and fewer delays
Clean paperwork means faster processing, fewer escalations, and smoother client experiences.
04
Deep platform experience
We work across the industry’s leading custodial, CRM, and document systems.
05
Scalable support without adding headcount
Ramp up or down based on volume, seasonal spikes, or staffing needs.
Icon label
Zero recruitment overhead
Leave staffing costs behind and scale up your team and operations to suit your needs – paying only for the hours you need.
Icon label
Eliminated turnover risk
Our pre-screened, pre-trained professionals are ready to step in as needed for built-in redundancy and continuity.
Icon label
Scalable operations
Our solutions adapt quickly and easily to your fluctuating business needs.
Who We Serve
Employee Pooling supports BGAs, IMOs, FMOs, carriers, and wealth management firms with special projects designed to scale with their needs. With more than 280 global professionals serving 180+ organizations, our Special Projects team delivers measurable relief for even the most complex operational challenges.
Scale Without the Stress
Let Employee Pooling take on the operational load so your advisors and processors can focus on client relationships, revenue, and planning. It’s really as simple as that.
Ready to streamline your wealth management operations?
