Making Babies
"C.O." is found in the title of each Implementation Checklist baby action, and is an abbreviation for this.
What is client onboarding?
Helpful when you are backing someone up, this folder contains every CRA's updated RMD list.
What is the "2026 RMD Lists" folder?
Recently the cause of a large Advisor Engine cleanup project, actions should never be left overdue past this many days.
What is zero days?
No postage needed! This alphanumeric "stamp" should be included in every action.
What is a date stamp?
Recently added to our employee signature graphic, ProVise was founded in this year.
What is 1986?
This baby action is the only one in the "Incoming Funds" workflow, making it one of the rare workflows with an only child.
What is "New Funds, Action Needed?"
Check please! The process for depositing a check via mail can be found in this document.
What is the Schwab Guide?
"____ - Insufficient Funds" and "Insufficient funds - _____" are the only two ways an NSF action should be titled.
What are "URGENT" and "Needed by MM/DD/YYYY?"
___ and ___ are the only two pieces of information an investment manager needs in a new funds action.
What are the account #/registration and $ amount received?
The acronym I CARE, comprised of these six words, represents ProVise's core values.
What are integrity, compassion, a team, relationships, and excellence?
There is a baby action within the "Terminated Client" workflow titled “Black Diamond - Delete Client User”. The due date of this baby action is automatically scheduled _____ days from the completion of the parent action.
What is 90 days?
Found in the "_________" folder, the document titled "Changing a Client's Advisors" lists the eight places that a new ADV1 needs to be changed.
What is "Multi-Platform Processes?"
An RMD action will automatically have one of these three titles (before the CRA makes any edits).
What are "RMD - Inherited RMD DOD After 2020," "RMD - Inherited RMD DOD Before 2020," and "RMD - 20?"
Other potential answers: "10 YR / Inherited IRA RMD 20" and "RMD Inherited 20"
These three meeting options are part of the "Best Interest/Fiduciary Duty Notes" workflow that the advisor completes.
What are In person, Phone call (ProVise initiated or Client Initiated), and Virtual Meeting
There's no place like home! This alliteration is the street name of our new office building come August.
What is Park Place?
There's no love for the middle child, including this baby action - the second of six in the "Terminated Client" workflow.
What is "Completion of IAA letter / delink accounts?"
This folder contains a document that lists which of our advisors are dually registered reps.
What is "Miscellaneous Resources?"
These four people are automatically FYI'd on the "Schwab Restricted Account" action.
Who are ADV1, ADV2, Josh, and Daniel?
The "Account Transfer - Existing Account" action requires the CRA to fill in this date.
What is the date the transfer was received?
This combination of two letters and one number make up Ray's rep code.
What is Q87?
Baby actions can be a dime a dozen. The Implementation Checklist workflow contains the following twelve baby actions.
(List a minimum of six)
What are: "Advisor Engine Record", "Paperwork has been sent", "Compliance Forms Received", "IRA Rollover - Recommendation / No Recommendation", "Enhanced Security & Trusted Contact", "Paperwork Received/Sent to Custodian", "Accounts have been created", "Issuer of Communications Verified", "Egnyte - Create Client or Account", "Black Diamond", "Accounts Funded - Advisor", "New Funds - Investment Manager"
This document lists Provise's master numbers, including our closed account master.
What is the Schwab Guide? Master Accounts > ProVise's Master Numbers
Once a domestic wire is sent, the CRA has 24 hours to upload these documents to Egnyte as one file.
What are the wire instructions (if written) and either a Schwab Wire Transfer form or a PDF of the Schwab Move Money page showing the client approved the wire via Alliance?
In the "Change of Address" action, the CRA/advisor is required to FYI compliance if the client has either of these two financial products.
What are insurance products or annuities?
This many employees are currently on the ProVise phone extension list.
What are 36 employees?