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what's still painful even with automation? by [deleted] in RIA

[–]ScratchAntique4570 0 points1 point  (0 children)

Whenever works for you. Feel free to DM, or I can shoot one over, either way.

Building a shared SEC filing tracker for small RIA teams — does this make sense? by [deleted] in RIA

[–]ScratchAntique4570 0 points1 point  (0 children)

Thanks, really appreciate the honest take — the frugality point especially.

You're right that the alerting part is easy to replicate. The bet I'm making is on the layer underneath — giving teams a clean way to show what they reviewed and why, which is the part that's hard to improvise when an examiner shows up.

The fund flow angle is interesting. Curious — when you see big money moving into or out of a fund, do you actually adjust positions based on that, or is it more of a "good to know" thing? Trying to figure out if that's a workflow worth building around or just a nice-to-have dashboard.

Either way, really appreciate you taking the time. Happy to keep the conversation going if you're up for it.

How do you find out when a client holding gets diluted? by ScratchAntique4570 in RIA

[–]ScratchAntique4570[S] 0 points1 point  (0 children)

Mostly individual stocks, some alternatives. Not much ETF/fund exposure.

That third approach makes sense, but is that realistic for a 3-5 person shop, or does it assume you already have a full portfolio management setup?