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Wealth Management / RIA

Your firm's grunt work, handled

SEC exam prep, fee billing, marketing review, client onboarding, data reconciliation. Your CCO, ops team, and finance lead split this work across 12+ systems every cycle. PitCrew runs it on your data, flags what needs human judgment, and produces examiner-ready evidence as a byproduct.

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The Reality

The grunt work that costs your firm time, money, and risk

gavel

SEC exam prep shuts down the firm for weeks

$50K-$150K per exam

Document requests span 2-5 years across email, CRM, shared drives, and custodian portals. The work was done throughout the year. Proving it is the hard part.

price_check

Fee billing errors are a top SEC exam finding

20-40% of firms have billing deficiencies

Tiered schedules, household aggregation, mid-quarter prorations, multiple custodians. Overcharges mean refunds. Undercharges mean 1-5% revenue leakage nobody catches.

sync_problem

12+ systems and the data never matches

Every system, different numbers

A client transfers $500K on Friday. Custodian reflects it Monday. CRM shows the old balance Wednesday. Billing, reporting, and compliance all disagree.

security

Cybersecurity evidence gaps surface during exams

Cited in every SEC exam priority since 2020

Access reviews, vendor assessments, incident response managed by a 1-2 person IT team. The policy exists. The evidence of implementation doesn't.

CCO COO CFO CIO

How It Works

The grunt work across every cycle

Compliance, operations, finance, IT security, and client service. Each tab shows what your team handles today and what changes with PitCrew.

Workflow
Today
With PitCrew
syncCross-System Data Reconciliation
Client data lives in your custodian, CRM, portfolio system, and planning tool. Every system exports a different format. Same client named differently across sources. Your ops team reconciles thousands of records manually.
Nightly reconciliation across all connected systems. Straightforward mismatches auto-resolved. Ambiguous exceptions flagged for your team. Discrepancy resolution under 48 hours.
campaignMarketing and Communications Surveillance
The Marketing Rule (206(4)-1) requires review of all advertising. Social media surveillance generates thousands of messages per day. Low-risk posts get the same review time as high-risk performance claims. Your CCO is the bottleneck.
Marketing materials and social posts reviewed against SEC requirements. Performance claims, testimonials, and endorsements flagged. Your CCO reviews flagged content, not everything.
databaseCRM Data Quality Management
Financial services CRM data decays 25-35% annually. Duplicate records distort reporting. Bad contact data means bounced emails and missed RMD notifications. Your team runs periodic cleanup projects that are outdated within weeks.
CRM-to-custodian reconciliation runs nightly. Duplicates flagged, format mismatches corrected, contact data validated. Data quality score tracked continuously.
notifications_activeAccount Alert Monitoring
Large withdrawals, failed ACH transfers, margin calls, and fee reversals happen daily. Your team finds out when the client calls or when the custodian report lands the next morning.
Account activity monitored continuously. Material events flagged to the right advisor with context and recommended action. Every alert and response documented.
Workflow
Today
With PitCrew
price_checkFee Billing and Revenue Leakage
Tiered fee schedules with household aggregation, mid-quarter prorations, multiple custodians. Your CFO reconciles in Excel. Firms routinely under-collect 1-5% of entitled revenue. Fee billing errors are among the most common SEC exam findings.
Every fee validated against the signed advisory agreement. Tiered calculations, prorations, and household aggregation checked. Revenue leakage identified. CCO attests before debit files are generated.
groupsClient Meeting Lifecycle
Each meeting requires 45-90 minutes of admin prep. Data lives across portfolio system, CRM, financial plan, and activity log. At 200 clients, that is 400-1,600 meeting preps per year. Then follow-up tasks need to be logged.
Pre-meeting brief auto-assembled from connected systems. Performance, plan progress, and activity history compiled. Post-meeting action items logged to CRM. Prep time under 15 minutes.
summarizePeriodic Client Reporting
Hundreds of quarterly reports with performance, allocation, commentary, and plan progress. Data pulled from multiple systems. Commentary is templated but needs client-specific context. Your team builds these one by one.
Reports generated from custodian and portfolio data with client-specific commentary context. Formatted per client preferences. Your advisor reviews and sends, not assembles.
track_changesIPS Compliance and Drift Detection
Investment Policy Statements are unstructured PDF prose with constraints buried in paragraphs. Manually checking every portfolio against its IPS constraints each quarter is impossible at scale. Drift goes undetected until review meetings.
IPS documents read and constraints extracted. Client portfolios checked against IPS at scale. Drift flagged with severity rating and recommended rebalancing. Evidence documented per client.
Workflow
Today
With PitCrew
fact_checkForm ADV Filing and Amendments
Form ADV Parts 1, 2A, 2B, and CRS must be updated annually within 90 days of fiscal year-end, plus prompt amendments for material changes. Data lives across CRM, accounting, HR, and ops systems. Every field has a strict definition.
Current firm data compared to prior ADV disclosures. Changes identified with justification. Amendment draft with redline produced. Your CCO and counsel review before filing.
securityCybersecurity Risk Assessment
SEC expects annual risk assessments. Access reviews, vendor security questionnaires, incident response testing, and MFA verification across all systems. Your 1-2 person IT team coordinates this across the firm while managing day-to-day infrastructure.
Access logs pulled from connected systems. Vendor SOC 2 reports reviewed. Assessment checklist documented with evidence. Your CIO confirms findings, not assembles the package.
handshakeCode of Ethics and Personal Trading
Annual certifications, quarterly personal trading reviews, pre-clearance requests. Paper brokerage statements still arrive at some firms. Your CCO reviews every trade against the restricted list manually.
Personal trading reports reviewed against restricted list and recent firm trades. Certifications tracked. Exceptions flagged with reasoning. Your CCO reviews exceptions, not every trade.
shieldVendor Due Diligence
12-20+ technology vendors per firm. Reg S-P amendments require contractual breach notification clauses. Annual vendor assessments mean reading 100+ page SOC 2 reports and tracking contract compliance. Most firms check if a SOC 2 exists without reading it.
Vendor SOC 2 reports read and gaps identified. Contract clauses checked against Reg S-P requirements. Risk tiering applied. Your CIO reviews risk assessments, not raw reports.
Workflow
Today
With PitCrew
gavelSEC Examination Response
SEC examiners request books and records, compliance evidence, and client files spanning 2-5 years. Documents scattered across email, CRM, shared drives, and custodian portals. 30-50% of staff time consumed during exam period. Total cost $50K-$150K.
Examiner requests mapped to evidence produced throughout the year by every workflow run. Documents indexed and assembled automatically. Your team reviews and submits, not searches.
person_addNew Client Onboarding
Industry median: 14-21 days from signed IMA to funded account. Documents arrive piecemeal. Same data re-entered into 3-5 systems. Custodian forms, CRM setup, planning tool config, compliance suitability checks, IPS documentation. NIGO rates add more back-and-forth.
Intake documents read, data extracted, accounts provisioned across systems. NIGO issues caught before submission. Suitability checks run. Your team handles client questions, not data entry. Target: under 5 days.
send_moneyWire and Money Movement
Highest-risk operational activity. 65% of firms process money movement via email. Request arrives, advisor forwards to ops, ops enters in custodian portal, second person verifies. No automated fraud checks. No evidence trail beyond email threads.
Request validated against client standing instructions. Unusual patterns flagged. Dual-authorization workflow enforced. Complete audit trail from request to execution. Identity verification documented.
warningIncident Response and Breach Notification
Reg S-P amendments (effective 2025/2026) require breach notification within 30 days. Most RIAs have no tested incident response plan. Vendor breach notification clauses are missing from contracts. Ransomware recovery averages 23 days.
Incident classification workflow with notification determination. Vendor contracts tracked for breach clauses. Tabletop exercise documentation. Your CIO and CCO make decisions with full context, not scramble for information.

PitCrew Skills

8 Skills configured for your RIA

A Skill is an agentic workflow that connects to your systems, runs the work end-to-end, surfaces exceptions for your team to review, and produces a complete evidence trail. Our team configures each one to your firm's data, policies, and thresholds.

sync

Reconcile Data

Compare client data across custodians, CRM, portfolio system, and planning tools. Flags AUM discrepancies, position breaks, contact data mismatches, and account-level drift before they cascade into billing, reporting, or compliance issues.

rule

Review Documents

Review marketing materials against the Marketing Rule (206(4)-1), client agreements for fee schedule accuracy, vendor SOC 2 reports for security gaps, and compliance documents against firm policies. Flags issues before distribution, filing, or renewal.

data_object

Extract Data

Pull structured data from custodian statements, onboarding paperwork, IPS documents, SEC exam request letters, and brokerage statements. No more manual re-keying from PDFs into your CRM, compliance system, or planning tool.

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Validate Fees

Calculate advisory fees against signed client agreements. Supports tiered schedules, household aggregation, flat rates, and custom arrangements. Compares calculated fees to what was billed. Identifies revenue leakage and overcharges before they become exam findings.

person_add

Onboard Entities

Onboard new clients across custodian, CRM, planning tool, and compliance systems. Read intake documents, extract data, pre-fill applications, run suitability checks, catch NIGO issues before submission. Also handles advisor onboarding and employee provisioning.

summarize

Generate Reports

Assemble client review packets, quarterly performance reports, billing summaries, compliance testing workpapers, and access review documentation. Data aggregated from connected systems. Your team reviews the output, not the data pull.

monitoring

Monitor Drift

Continuous monitoring for data drift between systems, portfolio drift against IPS constraints, custody triggers from LOA changes, and custodian feed health. Detects issues before they affect clients, billing, or regulatory posture.

quickreply

Respond to Inquiries

Assemble responses to SEC exam requests, audit inquiries, and client questions from your evidence trail. Every workflow run throughout the year produces indexed, timestamped evidence. When the request arrives, the evidence is already organized.

Integrations

Connects to the systems your firm runs on

Don't see yours? We build custom integrations for whatever your firm runs on.

Custodians

  • Schwab
  • Fidelity
  • Pershing (BNY)
  • Altruist

Portfolio / Reporting

  • Orion
  • Black Diamond (SS&C)
  • Tamarac (Envestnet)
  • Addepar

CRM

  • Salesforce
  • Wealthbox
  • Redtail
  • Practifi

Financial Planning

  • MoneyGuidePro
  • eMoney
  • RightCapital
  • Holistiplan

Compliance

  • COMPLY
  • ComplySci
  • SmartRIA

Trading / Rebalancing

  • iRebal (Schwab)
  • Tamarac Rebalancing
  • Orion Trading

Document Management

  • Laserfiche
  • Docupace
  • NetDocuments

Productivity

  • Outlook
  • Teams
  • Excel

Frequently asked questions

Last updated:

How does PitCrew help with SEC exam response?

Every Skill run produces a timestamped evidence trail: what data was compared, what matched, what was flagged, what was resolved, and by whom. When the SEC examiner sends a document request list, PitCrew maps each item to evidence already produced throughout the year by your daily, quarterly, and annual workflows. Documents indexed and assembled automatically. Your CCO reviews before submission.

How does fee billing validation work?

The Validate Fees skill reads your signed advisory agreements (including tiered schedules, household aggregation, and custom arrangements), pulls AUM from custodians, calculates what should have been billed, and compares it to what was actually charged. Discrepancies are flagged with the specific cause. Revenue leakage identified. Your CCO attests before debit files are generated.

What systems does PitCrew connect to?

Custodians (Schwab, Fidelity, Pershing, Altruist), portfolio/reporting (Orion, Black Diamond, Tamarac, Addepar), CRM (Salesforce, Wealthbox, Redtail), compliance (COMPLY, ComplySci, SmartRIA), planning tools (MoneyGuidePro, eMoney, RightCapital), and document management. Our team handles integration setup during the engagement. Custom integrations built for systems not on this list.

Can PitCrew help with cybersecurity compliance?

Yes. PitCrew automates access reviews by pulling logs from connected systems, tracks vendor SOC 2 reports and contract clauses for Reg S-P compliance, and documents incident response tabletop exercises. Your CIO reviews findings and risk assessments. Evidence collected continuously, not assembled once a year before the exam.

How is client data protected?

PitCrew is SOC 2 Type II certified. Hosted on AWS with three-tier network isolation, encryption at rest (KMS), TLS 1.2+ in transit, and Multi-AZ deployment. Zero data retention after processing. Your data is never used for model training. Every access logged and auditable.

Stop proving the work was done. Start with a diagnostic

We review your systems, map the grunt work across compliance, ops, finance, and IT, and show you exactly where PitCrew fits. 15 working days from first call to production.

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verified SOC 2 Type II
delete_forever Zero Data Retention
cloud_done Hosted on AWS