Oversight
Suitability, Reg BI, employee-trading and front-running surveillance in a single review queue, with tiered escalation.
BeaconsStrategic Capital
BeaconsStrategic Capital
One reconciled set of records where oversight, execution and relationship coverage live together, so the firm runs on a single source of truth instead of a stack of disconnected tools.
Suitability, Reg BI, employee-trading and front-running surveillance in a single review queue, with tiered escalation.
AML and KYC, exception handling, audit trails and real-time escalation paths examiners can follow end to end.
Multi-asset order management with blotters, allocations and timestamped records, captured once and retained without limit.
Coverage scoring, contact cadence and proactive alerts on every account, so attention reaches past the top tier.
Fidelity, Schwab, BNY, LPL and Orion consolidated into one reconciled advisor and principal view.
SOC 2, NIST, continuous monitoring, MFA, encryption and a tested recovery plan, built in rather than bolted on.
Every requirement traced to the record that proves it, written as the work happens instead of assembled before an exam.
Proof that the advice fit the client, generated at a scale hand-built files cannot reach.
Fee-based accounts with too little activity to justify the fee, surfaced early.
Employee-trading monitoring, front-running detection and restricted-list enforcement in one queue.
Every message, trade, approval and review held to the 17a-4 standard.
Every custodian standardized into one reconciled view, with full data lineage and unlimited records retention.
Direct links to Fidelity as the primary custodian, plus Schwab, BNY and LPL.
Every custodian standardized into one reconciled advisor and principal view.
Full data lineage, position tracking and unlimited records retention.
MFA, encryption, continuous monitoring and a tested business-continuity plan.
Platform setup, custodial integration, data migration and nationwide training are included. A working pilot inside nine to eleven weeks.
No onboarding fee · No per-transaction fee · No surcharges