A practical guide for growing RIAs to document the why behind decisions as client interactions, channels, and portfolios get more complex.
Fiduciary duty is not new. What’s changed is the standard of proof that clients and regulators increasingly expect. It’s no longer enough to give good advice. Firms must be able to show the evidence chain behind that advice: what the client asked for, what was recommended, what disclosures were provided, what was executed, and how the portfolio was monitored afterward.
This paper lays out a practical, non-technical approach for building a Fiduciary Evidence Layer: a repeatable way to connect client intent and approvals to portfolio decisions and trades without creating bank-sized programs or adding friction for advisors.
In this white paper, you’ll learn how to:
- Create a repeatable method to capture and retrieve the why behind recommendations and trades
- Connect unstructured interactions (emails, meeting notes, approved messages) to structured execution records (orders, trades, holdings)
- Reduce “exam scramble” time by making evidence continuous, searchable, and audit-ready
- Shift compliance from reactive reconstruction to proactive capture
- Apply governance and traceability so insights are defensible, not just interesting
Built for leaders at growing RIAs, including:
- Chief Compliance Officers and compliance teams
- Heads of Wealth Operations and supervision
- Managing partners and executive leadership
- Technology and data leaders supporting advisory workflows
- Firms navigating multi-custodian environments, alternatives, and M&A integration