JoelLewis
@JoelLewis
Public Skills
portfolio-management-systems
by JoelLewis
"Portfolio management systems (PMS) for RIAs: model portfolios, sleeve-based/UMA management, drift monitoring, rebalancing, held-away aggregation, portfolio accounting, TWR/MWR performance, billing, custodian feeds. Platforms: Orion, Black Diamond, Tamarac, Addepar, Advent/APX."
reconciliation
by JoelLewis
"Reconciliation operations: position/cash/transaction matching with tolerance thresholds, three-way reconciliation (PMS/custodian/clearing), break identification (timing, pricing, corporate action, stock split/merger/DRIP), tolerance rules, STP rates (95-99% position, 85-95% transaction), auto-resolution, cost basis and tax lot matching, accrued income reconciliation, multi-custodian data normalization (Schwab, Fidelity, Pershing), ex-date processing, custodian feed formats, reconciliation scheduling, regulatory compliance (SEC Rule 204-2, ERISA, SOC 1/SOC 2, books and records), 1099-B accuracy, reconciliation automation platforms (Arcesium, Duco, Advent Geneva)."
fee-billing
by JoelLewis
"Advisory fee billing: fee calculation (tiered, flat, breakpoint), billing cycles, AUM valuation, direct-debit/invoice collection, GAAP revenue recognition, ADV Part 2A/Reg BI/ERISA 408(b)(2) disclosure, billing exceptions, system migration, revenue forecasting, concentration analysis."
financial-planning-integration
by JoelLewis
"Financial planning integration: goal-based plans, Monte Carlo probability-of-success, plan-to-IPS linkage, scenario analysis, tax-aware planning (QCD, tax-loss harvesting, withdrawal sequencing), Roth conversions, RMD management, SECURE 2.0 Act, Social Security optimization, IRMAA Medicare premiums, 529/donor-advised funds, risk capacity, longevity/sequence-of-returns risk, cash flow modeling by life phase, planning tools (eMoney, MoneyGuidePro, RightCapital), assumption synchronization."
crm-client-lifecycle
by JoelLewis
"Client lifecycle management for RIAs: segmentation models (AUM, revenue, behavioral, strategic importance), household management, multi-generational relationship tracking, service tier SLAs, quarterly/annual review scheduling, lifecycle tracking (prospect→onboarding→accumulation→distribution→estate), engagement analytics (NPS, contact frequency, retention risk scoring), at-risk identification, wallet share, held-away asset consolidation, referral attribution, FINRA Rule 4512 trusted contact, OFAC/enhanced due diligence, CRM platforms (Salesforce, Redtail, Wealthbox, Dynamics)."
advisor-dashboards
by JoelLewis
"Advisor dashboards for RIAs: practice analytics, AUM/revenue tracking, organic growth, effective fee rate, net flows, client flow analysis, referral tracking, retention rates, attrition analysis, competitive losses, exception alerts (NIGO, rebalancing drift, billing), benchmarking (Schwab, FA Insight), productivity metrics, prospecting conversion, CRM integration (Redtail, Salesforce), PMS integration (Orion, Tamarac), compliance metrics."
account-opening-workflow
by JoelLewis
"Account opening workflows: account types (individual, joint JTWROS/TIC, trust, entity, IRA/SEP/SIMPLE/inherited, UTMA, estate), required forms (Form CIP, CRS, W-9, W-8BEN, beneficial ownership, trust/LLC docs, Form 5305), approval workflows with supervisory review, NIGO management, regulatory holds, PEP/enhanced due diligence screening, senior investor protections, KYC/CIP verification, straight-through processing (STP), multi-custodian operations (Schwab, Fidelity, Pershing), account numbering/titling/classification, ACAT coordination, 30-day compliance review, funding verification, billing system integration, FINRA Rule 4512."
client-reporting-delivery
by JoelLewis
"Report generation, customization, delivery channels, frequency management, report templates, client portal integration, compliance review, and print vs digital delivery for advisory firms."
time-value-of-money
by JoelLewis
"Present value, future value, NPV, IRR, annuities, amortization schedules, and compounding conventions."
data-quality
by JoelLewis
"Financial data quality management: golden source architecture, data lineage, validation rules, exception management, profiling, monitoring, and governance frameworks."
return-calculations
by JoelLewis
"Compute and explain investment return metrics: TWR, MWR/IRR, CAGR, annualization, sub-period linking, arithmetic vs geometric vs log returns."
statistics-fundamentals
by JoelLewis
"Statistical methods for financial data: distributions, covariance matrices, regression, bootstrapping, shrinkage estimators."
workflow-automation
by JoelLewis
"Workflow automation for securities operations: BPM concepts, task routing, approval chains, escalation rules, SLA monitoring, and process orchestration patterns."
integration-patterns
by JoelLewis
"Financial systems integration: API design, FIX protocol, ISO 20022 messaging, event-driven architecture, batch processing, idempotency, and error handling patterns."
market-data
by JoelLewis
"Market data management: real-time vs delayed feeds, Level 1/2/3 data, data vendors, consolidated tape, market data licensing, distribution, and infrastructure."
sales-practices
by JoelLewis
"FINRA and SEC rules governing sales conduct: churning, breakpoint abuse, selling away, unauthorized trading, supervision, senior protections, VA and options suitability."
conflicts-of-interest
by JoelLewis
"Identifying, disclosing, and mitigating conflicts of interest across the advisory and brokerage landscape."
privacy-data-security
by JoelLewis
"Privacy and data security compliance: Reg S-P, Reg S-ID Red Flags Rule, SEC cybersecurity rules, state privacy laws, vendor management, incident response, data governance."
account-opening-compliance
by JoelLewis
"Account opening compliance: CIP/KYC integration, suitability checks, OFAC screening, beneficial ownership, risk-based review, and compliance automation in account opening."
fiduciary-standards
by JoelLewis
"Fiduciary duty: IA Act Section 206, SEC 2019 Interpretation, ERISA fiduciary rules, DOL guidance, state-level standards, CFA Institute standards."
advice-standards
by JoelLewis
"Regulatory bright lines between investment education, recommendations, and investment advice under federal and state securities law"
pre-trade-compliance
by JoelLewis
"Automated pre-trade compliance: rule engines, concentration limits, restricted lists, hard and soft blocks, regulatory limits, client-specific restrictions, and compliance rule configuration."
proposal-generation
by JoelLewis
"Investment proposal generation: risk profiling output, model portfolio recommendation, fee illustration, scenario projections, compliance review, and proposal delivery for advisory practices."
stp-automation
by JoelLewis
"Straight-through processing and automation: STP design, exception-based workflow, STP rate metrics, integration patterns, process automation, and operational efficiency for securities operations."