Registered Investment Advisors

With Laserfiche, you work as you always have, except your records are securely stored in a digital repository rather than in file cabinets—facilitating response to audits, speeding order approval and tracking how efficiently your staff is working, all from one easy-to-operate interface.

• Access files simultaneously from multiple locations.
• Reduce costs and increase profits while servicing clients more effectively.
• Accelerate account opening for greater production and profitability.
• Support supervisory compliance by constantly monitoring document access and retrieval to guard against unauthorized access or distribution of confidential client information.
• Easily develop integrations with CRM, practice management and portfolio management applications.

Relying on paper unnecessarily cuts into your bottom line. By using Laserfiche to eliminate inefficient paper-based business processes, you gain efficiency, improve profitability and increase productivity, all while reducing the cost of compliance.

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Improve Communication with Advisors, Staff and Supervisors

If you supervise advisors working in satellite or home offices, or if you have to report to another office, you know that constant, simultaneous access to up-to-date information is critical.

• Reduce labor, copying and mailing costs with immediate, economical distribution via e-mail, intranet or the Web.
• Distribute documents on CD to satellite offices, compliance officials and independent third parties.
• Provide clients with secure, password-protected online document access through the WebLink public portal.

Increase Business Value and Enhance Profitability

While many firms have the same net revenue, the firm with the lowest overhead is ultimately more valuable. Reduced paper and storage costs, more efficient business processes, less time spent on compliance and superior customer service ultimately give your firm the competitive edge.

• Attract, retain and support top advisors with powerful technology.
• Simplify business transfer and succession planning with easily transferable client records.
• Gain a competitive edge with lower costs and faster client service.

Regain Lost Productivity

How much time do you and your staff waste searching for information? With Laserfiche, you locate any information on demand, satisfying your clients with the information they need and the service they want right when they call—the first time they call.

• Search by client name, security name, account type or hundreds of other easily customizable template fields.
• Store, search and secure business-critical records including blotters, affiliated persons records and correspondence files.
• Reduce mistakes and misfiled documents with automated document indexing and processing.
• Provide staff with instant access to supporting documents by integrating Laserfiche with your CRM or practice management application.

Reduce the Costs of Compliance

An enterprise content management solution can’t automatically make you compliant, but can ease the burden of complying with increasingly stringent regulatory rules and retention requirements.

• Establish, maintain and demonstrate compliance with SEC and FINRA rules, Sarbanes-Oxley and the USA PATRIOT Act.
• Facilitate supervisory compliance with “know your customer,” money laundering and suitability guidelines.
• Publish time-dated records to unalterable media.
• Ease compliance with business continuity directives.
• Expedite audits by quickly and easily producing records on demand.

Laserfiche’s open architecture speeds integration with your existing applications—while programming tools and pre-packaged modules limit costs and minimize burden on IT staff.

• Promote image-enabling integration with Goldmine, Junxure, Advisors Assistant, Laser App, Quik! and other practice management, CRM and portfolio management applications.
• Retrieve information from back-office systems to automatically populate template fields, validate data entry and check metadata capture.
• Trigger Workflow activities from third-party applications like your CRM application, practice management software or other back office systems.
• Provide Laserfiche ECM capabilities from Web portals, including Microsoft SharePoint® sites, to improve information organization and access enterprise-wide.
• Speed integration with pre-built, customized modules, including integrations, configurations, plug-ins and Web tools, from the Laserfiche Marketplace.