Case Study: Checks & Settlements Process Transformation for an RIA Custodian

CASE STUDY

Checks & Settlements Process Transformation for an RIA Custodian

About the Client

The company is an independent Registered Investment Advisor (RIA) custodian and offers services to over 150 RIAs in the States. The gamut of services includes state-of-the-art, high-efficiency trading, fee management program, personal assistance and more.

Key Challenges Faced by the Client

With the sprawling customer base, it became difficult for the client to keep up with the increasing volumes of process forms, checks, settlements, and back-up paperwork. Moreover, the processes were largely manual, which led to inefficiencies.

Key Outcomes of the Implementation

Using Newgen’s solutions, the client automated their processes for improved efficiencies and superior customer experience. Read this case study to find out how Newgen’s technology helped them achieve this.

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