Advisors
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Guidance Every Step of the Way
Transition services custom tailored to your unique business
Client Transfer Assistance
Our Advisor Engagement team crafts specialized mapping plans to efficiently and seamlessly onboard your clients to the Vicus Capital platform. Effective execution includes considerations for client goals, appropriate investment strategies, unrealized capital gains, and fee analyses to name a few. Additionally, our Advisory Operations team offers their assistance in completing all necessary paperwork.
Customized Onboarding
Going independent for the first time or moving to a new RIA offers exciting new opportunities. Allow the experts at Vicus Capital to walk you through the onboarding process every step of the way. Our #1 priority is minimizing disruptions in your business throughout the process so you can focus on what you do best: helping your client achieve their financial objectives.
Brand Development Services
Our Marketing team will work with you to build an image that aligns with your values and goals and speaks to your target clients. From color schemes and logos to your digital presence and collateral, we will help your business make an impact in your community and beyond!
Customized Support Structure
Your business is unique, which means your support will be too
Advisor Engagement
- Initial and ongoing book analysis and model mapping
- Vicus View (weekly market update)
- Vicus EDGE (monthly business enhancement ideas)
- Semi-annual roadshows (in-person and livestream)
- Case planning, design and meeting preparation
- Proposal requests and delivery
- Qualified retirement plan services
- In-depth product education and support for advisors and staff
Advisory Operations
- Process clients’ money movement requests
- Account paperwork NIGO quality control and tracking
- Submission and tracking of forms with custodians
- Process program changes and risk tolerance updates
- Client billing household set up and maintenance
- Process remote check deposits
- Emergency/out of office client support
- Digital advice account set-up, processing, and maintenance
Business Development
- Business coaching
- Practice valuation and purchase negotiations
- Hiring assistance (job description writing, job posting, resume review, and candidate assessments)
- Liaison for new advisor offices with Vicus Capital corporate office
- Advisor and support staff onboarding
- Initial product, platform and services education
- Client account re-papering assistance (remotely or on-site)
Compliance
- Individualized support during regulator/auditor site visits (state, broker dealer, FINRA and SEC)
- RIA oversight
- Client complaint assistance and resolution
- Consultation and guidance for difficult client situations
- Trust and power of attorney review
- Suitability review
- Regulatory research, field support, and education
- General Counsel consultation
- Vicus PRIME liaison and program reimbursement submissions
Finance & Human Resources
- Monthly advisory fee payouts
- Fee-for-service financial planning invoicing
- Business production reporting
- Accounts payable and receivable
- Shipping/Deliveries
- Administration and billing
- Human resources management and payroll
Financial Planning
- Customized financial plans
- Enhancement and review of ongoing wealth strategies
- eMoney implementation and ongoing support
- Certified expert consultation when preparing for or during a client meeting
- A La Carte or subscription plans to accommodate your preferences
IT & Cybersecurity
- Cybersecurity solutions
- Business continuity systems
- Digital/Virtual solutions
- Paperless office
- Cloud Storage
- Archiving
- Compliance integrations
- CRM support
- Email support
- Account management and secure messaging
- Spam/suspicious messages and hacking triage and support
- Vendor or product review and due diligence
- Networking infrastructure
Investment Management & Research
- Broad array of investment platforms:
- Custom solutions division (including SMAs)
- Managed solutions division (strategic, tactical and hybrid options)
- Retirement Plan Services: 3(21) and 3(38) Fiduciary Services
- Open architecture, advisor as PM structure
- Investment research and due diligence
- Model construction and trading
- Custom proposals and asset allocations
- Quarterly and ad-hoc market commentary
- Vicus PM conference calls with end clients upon advisor’s request
Marketing
- Collateral design and review
- Brochures
- Rack Cards
- Websites
- Business Cards
- Social Media
- Letterhead
- Signage
- Digital and Print Advertisements
- Video recording in our on-site studio and post-production
- Consultation on and review of marketing strategies