Compliance – Orion Social

Apr 06

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RIA In A Box

RIA in a Box® provides the leading compliance solution for investment advisers. They seek to put the client first by delivering innovative software and expert advice. Established in 2005, they have helped over 3,000 investment advisers start an RIA firm and also provide ongoing monthly compliance assistance to over 1,500 SEC and state-registered RIA firms across the country. Their investment adviser compliance programs pair their MyRIACompliance^TM online software platform with compliance consulting expertise provided by their team of former regulators. Beyond RIA registration and compliance services, they often assist investment advisers with broader business decisions such as custodian and technology selection and many other considerations related to being an independent investment adviser.

RIA in a Box integrates with Orion to pull key Representative and Household level data to to ensure that an RIA firm is registered or notice filed in the proper jurisdictions and that the currently filed Form ADV information is accurate.

Mar 12

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LexisNexis

By Ryan Cohagan | | No Comments

LexisNexis is a fully integrated compliance platform that enables organizations to consolidate compliance processes, standardize controls and bring enterprise-wide operational consistency. Reduce the complexity and boost the efficiency of your KYC processes by accessing identity verification, screening, due diligence, and fraud prevention services through a single point of entry for a consistent user experience. By combining industry-leading filtering software with the unmatched watch list content of WorldCompliance™ Data, LexisNexis delivers significant efficiencies to the screening processes to drive compliance cost down, increase operational capacity and reduce cycle times.

Orion integrates with the LexisNexis Bridger Insight tools within the Verify Tool in the Compass app which will screen your clients’ various lists of prohibited persons, entities and other bad actors. This integration helps you efficiently confirm the identities of your clients and alert you of ones that may need a second look.

Dec 05

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RedBlack

By Jeff Kliewer | | No Comments

RedBlack provides portfolio rebalancing and trading solutions used by asset management firms, wealth managers, registered investment advisors, brokers, banks and trust companies.

Automating the rebalancing process and rapidly executing trades in response to tactical decisions results in improved portfolio performance and a more efficient and profitable business practice that enables advisors to spend more time with clients and prospects.

Orion integrates with RedBlack by providing Household, Account, Position, and Cost-basis data for trade management and rebalancing.

RedBlack Website

Dec 01

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Nitrogen

By Jeff Kliewer | | No Comments

Nitrogen is a web-based technology platform that provides tools for risk tolerance measurement which allow advisors to use that data to win new clients, capture and meet expectations, and quantify suitability. There are multiple ways to use the integration:

Accessible Data
Push information from Orion into Nitrogen: account values, holdings & positions, and models.

Single Sign-On (SSO) to Nitrogen
Access your Riskalyze account directly from Orion with the click of a button.

Seamless Proposals
Streamline proposal creation in Nitrogen by sending household data directly from the New Account Center or Portfolio Audit app in Orion to Nitrogen. Once the proposal is completed within Nitrogen, a PDF version of the proposal can be sent back to Orion.

Real-Time Model Risk Numbers
In Orion’s Models app, you can choose a pre-existing model or create a new one. As you add or adjust the allocation of positions, the model’s risk number will calculate in real time. You can also sync Orion models back to Nitrogen.

Orion Integrates with the standard Nitrogen features, as well as their Autopilot and Compliance Cloud platforms.

Nitrogen Website