Enhanced Experience Program
Past Updates

Below is a list of enhancements made across the full Osaic network from 2022-24.
See recent updates →

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Service & Operations
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Service & Operations
Q1 2024
New Ability to Self-Close Eligible Support Center Cases
You can now close cases that are no longer relevant without having to contact the Home Office by clicking the “Close Case” button that appears in the upper-right corner of eligible cases.
Enhanced Visibility into Related and Sibling Cases in Support Center
To easily identify similar requests, you now have enhanced visibility into related and sibling cases.
  • Quickly navigate between cases via linked case numbers. 
  • A new list view called “Parent/Related” cases allows you to manage case relationships more easily.
  • A new Reports tab shows all cases and enables data export. You can manage your caseload by filtering according to case number, type, parent/related cases, and contact name.
DECEMBER 2023
Enhanced Roth conversion form
We have worked with NFS and Pershing to revise the Roth conversion forms, allowing clients to complete a full conversion while keeping the traditional IRA open as the conduit account.
OCTOBER 2023
Launched Life Events team
The Life Events team is dedicated to helping you navigate the difficult or challenging life events your clients and their families may face. OWI Financial Professionals: Contact the team at Option 8.
Revised Securities America & Triad check hold policy
The check hold policy for Securities America and Triad has been revised to allow you to hold checks for up to seven business days when the check is to fund the purchase of a product/transaction that is pending pre-approval by the firm.
SEPTEMBER 2023
Service Experience Dashboard
To elevate your service experience, our home office staff can access metrics for you and your OSJs/managers to quickly identify your recent phone calls, Support Center cases, adoption of eSignature and eQuipt, plus more data points that help us better serve you.
APRIL 2023
Inherited IRA Roadmap now available
An Inherited IRA Roadmap guide is now available to help you understand regulation around inherited IRAs. 
MARCH 2023
Post-contact email surveys launched for Support Center cases
To effectively capture feedback on your service experience with Advisor Group, we are now sending post-contact email surveys when select Support Center cases are closed. The survey insights are used to highlight coaching opportunities or to identify enhancements to processes or systems.
FEBRUARY 2023
Chat support now available in Support Center
Chat Support is now available within the “Tech Support” workflow options of Support Center.
JANUARY 2023
2023 Tax Resources Center and specialized tax team now available
 
 
Our 2023 Tax Resources Center is now available! This repository contains new and enhanced resources to assist you and your clients during this busy season. Additionally, we’ve built out a specialized Tax Team that is now available to provide guidance and answer your tax reporting-related questions. Visit your firm’s portal to view the Tax Resource Center.
Chat functionality now available in Support Center
FSC, Royal Alliance, SagePoint, Woodbury financial professionals now have access to chat functionality through Support Center. Chat can be used for quick resolution to technology questions, such as password reset and system navigation details.
OCTOBER 2022
Impactful Home Office employees recognized
 
 
Our councils were eager to develop a way to celebrate home office employees who offer fantastic service to you and your teams. The Advisor Group Values Visionaries Program is a new initiative that recognizes employees who offer excellent service to you and your teams, while exemplifying our core values. This year’s program sourced nominations from Advisor Group’s boards and councils, as well as peers. We look forward to seeking nominations from all financial professionals in the future.
Skills-based new hire training launched
October’s new hire class for phone support is benefiting from a re-designed training experience that helps new employees become subject matter experts in a particular skill/topic early in their Advisor Group careers. In addition to developing employees who can better serve your specialized needs, this new training experience reduces time to proficiency, improves service quality, and provides an opportunity for home office employees to grow their careers as functional experts.
JULY 2022
Enhanced procedures for real time business impact alerts
 
 
We have enhanced our self-help procedures to include step-by-step instructions to resolve known issues and prevent a phone call due to an unplanned system outage or disruption. Additionally, messages will be posted on our phone lines to convey time-sensitive information when an unplanned system outage or disruption is known. 
JUNE 2022
Helpline for complex issue support established
 
 
Established a helpline that enables live assistance from subject matter experts to help front line service professionals increase first call resolution. In the month of June, over 430 calls benefited from this added support. This will improve the speed to resolve complex issues for financial professionals.
Pershing Transfer of Assets Form updated
The Pershing Transfer Form has been updated to include definitions and clearer instructions, addressing commonly asked questions from Advisor Group financial professionals. These form changes make step three of the Transfer of Assets easier to fill out and add clarity to the request, which reduces NIGOs and processing delays.
Contact Us pages updated
Contact pages for each wealth management firm were updated to provide clarity on whom to call for various support needs. Additionally, contact information for our Advisor Support Leadership Team was published.
  • FSC, Royal Alliance, SagePoint, Woodbury – Contact Us and Advisor Support Leadership Team
  • Securities America – Contact Us and Advisor Support Leadership Team
  • Triad: Contact Us and Advisor Support Leadership Team
Digital experience
Q1 2024
Launched Osaic’s Digital (R)evolution Site
 
 
A digital (r)evolution site was launched to share the most up-to-date information on releases and enhancements to technology, including OneHub, new eQuipt, and Wealth Management Platform.
New eQuipt and Client Data Now Available to All Osaic Wealth Financial Professionals 
 
All Osaic Wealth Financial Professionals now have access to new eQuipt, where all your client data is now available. Creating new clients and accounts in legacy systems will also now sync to new eQuipt, streamlining account opening and maintenance functions. Learn more on the new eQuipt page of our digital (r)evolution site.
More Funding Options are Available in new eQuipt (Pershing & NFS)
More funding options are available, with the ability to fund an account externally. Internal transfers are coming soon.
Added Ability to Close Brokerage Accounts in new eQuipt 
You can now close brokerage accounts (Pershing & NFS) in new eQuipt.
Released OneHub to all Financial Professionals Affiliated with Osaic Wealth
The wait is over – OneHub is now available to manage your day-to-day activities! Edit household relationships, find mutual funds faster, conveniently access new eQuipt via quick links, and view T+2 AUA values throughout reporting dashboards. Learn more about the latest enhancements on the OneHub page of our digital (r)evolution site.
Content Migration from VISION2020/Advisor Portal Moved Forward 
Our phased content migration journey began in April to prepare for sunsetting VISION2020/Advisor Portal. Ongoing progress will be shared in the Weekly Edge and can be referenced on the OneHub page of our digital (r)evolution site.
DECEMBER 2023
Support Center cases can now be reopened within 14 days of closure
 
 
Users are now able to easily reopen a case within 14 days of closure and have the option to leave feedback as to why they are reopening the case. For example, “additional information provided.”
Support Center notifications now include additional information
 
 
Status notifications now include the client’s name and account number, and the first line of an email from Support Center includes important information, such as case status, to quickly identify progress.
Expanded eQuipt Early Access funding features
 
 
eQuipt Early Access now covers over 97% of account registrations for both Pershing and NFS and covers common funding features, such as full account transfers and standing bank instructions.
Planned rollout and enhancements for eQuipt Early Access
 
 
Enhancements to eQuipt Early Access include NFS non-brokerage accounts at parity with Pershing, hybrid registrations allowing for 100% account support for all of Osaic, and external funding capabilities. eQuipt Early Access is expected to rollout to all Osaic Financial Professionals by the end of February and to be available on OneHub in early March.
NFS Wealthscape password now visible 
 
Users now have the option to view the password they are entering on NFS Wealthscape. Selecting the icon will allow you to view the characters you enter, instead of hidden by asterisks, and help identify typos.
OCTOBER 2023
WMP and eQuipt Early Access now integrated  
 
Users can now create a proposal in WMP for an existing or new client, and then open an account via eQuipt Early Access.
SEPTEMBER 2023
OneHub: New features added
 
 
Early Adopters can access an improved suite of content, enhancements to the reporting dashboard, and the new Community experience.
eQuipt Early Access: Account funding features added
Early adopters can leverage expanded functionality to set up bank standing instructions and full external brokerage transfers.
eQuipt Early Access: NFS support
Support is now live for the first NFS account registrations in eQuipt Early Access.
eQuipt Early Access: Enhanced WMP integration
Use eQuipt Early Access to set up Wealth Management Platform (WMP) accounts with improved core features such as Dollar Cost Average (DCA) plans and instant access to models. 
eQuipt Early Access: 97% coverage of Pershing account registrations
If you clear through Pershing, you can use 30+ account registrations, covering 97% of Osaic's current business.
MARCH 2023
Manual processes eliminated for Direct Business Blottering on Annuity Submission Platform
 
 
Transactions facilitated through the Annuity Submission Platform (ASP) are now being blottered automatically, which relieves your blottering requirements for annuities that are pre-approved through ASP.
JANUARY 2023
Early Adopters now on eQuipt 2.0 platform
 
 
The first group of early adopters are now on the eQuipt 2.0 platform. eQuipt 2.0 currently offers the ability to view and edit client data, as well as add new natural person clients and open a subset of commission-only account registrations. We are currently working on the ability to add entity clients and accounts, as well as integrating WMP. We will add more early adopters soon in conjunction with our monthly release cadence. 
eQuipt for new accounts Work-In-Progress Display limit increased
The maximum number of results that can be displayed in the eQuipt for New Accounts work-in-progress queue has been increased from 100 to 250 to accommodate larger practices and transitioning financial professionals.
DECEMBER 2022
Social Security Number requirement modified for eQuipt Client Portal registration
 
 
The eQuipt Client Portal registration process has been updated to require a combination of data points, including last four of social security number, date of birth, and zip code. Previously, full social security number was required, which made many clients uncomfortable due to phishing concerns.
OCTOBER 2022
Quarterly performance reports now available in eQuipt Client Portal
 
 
A new Performance category has been added to eQuipt Client Portal. Within this section, clients with one or more Envestnet/WMP accounts can view the QPRs for each account. Previously, clients had to go through several steps to access QPRs through custodial platforms and did not have access to QPRs through eQuipt Client Portal.
JULY 2022
Premium Technology Consulting launched
 
 
To meet the growing needs of our financial professionals, we have launched Premium Tech Consulting – a solution that allows you to work with an expert to analyze your tech processes and identify opportunities to help optimize your business. Learn more.
JUNE 2022
eSignatures added
 
 
An additional 19 forms were updated to allow e-signature, enhancing ease of use and consistency in paperless options. Learn More.
In-office digital signing enabled
Clients are now able to sign eQuipt account opening paperwork in your office. This enhancement streamlines the account opening process and does not require the client to access their email while in your office. Learn more.
eQuipt Client Portal and Mobile App layout enhanced
eQuipt Client Portal notifications have been improved and mobile app page layout and navigation updates have been made to enhance user experience. Learn more.
Policies & Procedures
Q1 2024
Updated Policy to Allow More Time to Blotter Checks
 
 
Policy has been updated to allow checks to be recorded to the check log within three business days following the business day of receipt. Previously, checks needed to be entered on the same day of receipt.

This policy change applies only to the timing of entering the check transmittal information to the check log. All other policies related to check handing still apply. 

Please be reminded that checks received from a client for payment or deposit must be forwarded on the business day received. If the check is received after business hours, it must be forwarded by noon the next business day. All checks must be physically secured, such as in a locked safe, prior to transmittal to the clearing firm, custodian, or product sponsor company.  
Deployed Process for Blottering Subsequent Payment Transactions on Your Behalf
You are required to blotter all subsequent payment transactions for Principal review and approval, as well as to maintain accurate books and records. While the policy to blotter subsequent annuity payments is not changing, we have deployed a process change to allow our Field Supervision Administration (FSA) team to blotter missed subsequent payment transactions on your behalf. Financial Professionals who repeatedly demonstrate a pattern of failing to blotter subsequent payment transactions may still be subject to corrective or disciplinary actions. 
Created Template for Annual Client Meeting Regarding Advisory Accounts
A template has been developed and is available for you to use to document your annual client meetings for advisory accounts.
  • Osaic Wealth: Under Guide, select “Client Review Blank Form.”
  • Securities America and Triad Advisors: Under Top WMP Resources, select “Client Review Blank Form.”
Improved Efficiency of Transaction Review Supervision (TRS) to Auto-Close Green Trades
We have made an efficiency improvement in our trade review system. First Line Supervisors affiliated with Osaic are no longer required to bulk approve green trades in TRS. The system automatically moves green trades to an approved status and no longer presents trades for manual processing, which saves time and adds value.
DECEMBER 2023
Made further improvements to Annuity Submission Platform (ASP)
 
 
ASP underwent significant upgrades in Q4: 

• Introduction of a new pause and resume feature, allowing you to partially complete a page, save the partial data, and return at a later time to complete
• Improvements to email notifications
• Improvements to the 1035 exchange process to automatically import policy data 
SEPTEMBER 2023
RightBRIDGE continues to make improvements based on your feedback
 
 
RightBRIDGE made several platform enhancements to create more efficient workflows and boost collaboration with your peers. Helpful resources are posted to your firm portal’s DOL PTE webpage.
JULY 2023
Clarified guidance for allowable third-party deposits
 
 
Effective July 1, policy language now provides clarification on allowable forms of third-party deposits in coordination with our simplified firm policies. For additional guidance, access the Compliance Manual, section 6, on Policy Portal.
APRIL 2023
RightBRIDGE enhancements streamline workflows 
 
 
In response to your feedback, RightBRIDGE made significant platform enhancements to create more streamlined workflows, reduce NIGOs, and improve overall user experience. System updates, effective April 26, and revised training material, best practice videos, and other helpful resources are posted to your firm portal’s DOL PTE resource page. For comprehensive training material, visit Learning Corner:
  • For FSC Securities, Royal Alliance, SagePoint Financial, and Woodbury Financial, click here.
  • For Securities America and Triad, click here.
JANUARY 2023
Policy Portal now live
 
 
Our new Policy Portal simplifies your ability to access, reference, and review important compliance-related materials. It’s your source for Compliance Journals, Newsbriefs, compliance-related communications, and compliance manuals. Access Policy Portal directly from your firm’s portal.
Prospectus delivery log no longer required
Financial professionals affiliated with FSC Securities, Royal Alliance, SagePoint Financial, and Woodbury Financial Services are no longer required to complete a prospectus delivery log when selling products requiring the delivery of a prospectus.
SEPTEMBER 2022
Government-issued IDs now allowed in lieu of Account Signature Cards
 
 
As an alternative to submitting an Account Holder Signature Card to verify certain money movement requests, our policy has been updated to accept government-issued identification for disbursements that require signature or ID verification. Such disbursements include, but are not limited to, checks, federal fund wires, ACH transfers, and journals.
Non-Registered Assistant OBA approval no longer required
Non-registered assistants are no longer required to disclose outside business activities when joining the firm or upon starting a new activity.
JULY 2022
Third-Party Money Movement requests now allowed
 
 
We have enhanced our policy to allow third-party disbursements via federal funds wires and ACH fund transfers. This policy change improves the financial professional’s ability to serve their clients’ varied needs and makes it easier for clients to disburse money to its final destination.
JUNE 2022
Sponsor Reimbursement Policy updated
 
 
The sponsor reimbursement policy for events has been updated to:
  1. Allow reimbursement for food and beverage expenses incurred while hosting virtual events.
  2. Permit sponsors to pay vendors directly for in-person and virtual events.
  3. Immediately process reimbursement payments received by the firm, prior to compliance review of the reimbursements.
Read more:
  • FSC, Royal Alliance, SagePoint, Woodbury
  • Securities America
  • Triad
Products & Platforms
Q1 2024
Set as Default the New WMP Interface for All Users
Wealth Management Platform’s (WMP) new interface has become the default user interface. From now until Jun. 30, you can access the old interface by selecting 'Switch to legacy platform' in the top right corner on WMP.
Formatted Product Termination Notice Alert for Better Readability
The Product Termination Notice alert now has a clearer format, with details distinctly separated, for better readability. Also, a new alert description has been introduced in the Product Termination Notice alert to inform users about the removal of portfolios from the termination process.
Added Search Filter Options for Proposals Enabled with Tax Management
You can now use the Tax Management search filter on the Proposal List page to find proposals that are enabled for tax management, as well as determine the tax management type for the proposal.
Introduced New Mutual Fund Rebate Report Page
A new Mutual Fund Rebate Report page was introduced, which displays the 12b1 rebate fees calculated and credited to accounts at the CUSIP or ticker level.
Ability to Add or Remove Trade Holds for Multiple Accounts in Bulk
To add trade holds in bulk, you can now select multiple accounts from the Accounts page, then initiate an Add Trade Hold service request. To remove trade holds in bulk, select multiple accounts, then select the Remove Trade Holds option from the Trade Hold Management page.
Generate Analysis of Existing Client Accounts and Download as a PDF
By selecting “View current account analysis,” you can now generate an analysis of existing client accounts before selecting proposed products in the new Proposal and Strategy Modification workflows. Once generated, the analysis can download as a PDF by selecting “Generate document” again and choosing “Download document.”
JANUARY 2024
Reduced or eliminated some Pershing client fees  
Effective Mar. 4, some of the fees your clients pay to Pershing are being reduced or eliminated. No action is needed by you or your clients. The fees will be automatically updated to $0 on Mar. 4. To learn more, visit your firm’s portal:

•   Securities America
•   Osaic Wealth
DECEMBER 2023
Improved OneHub platform based on user feedback 
 
In response to user feedback, the OneHub team has made the community feature easier to navigate, improved the accuracy of data reporting and have released over 200 new pages of content.
OCTOBER 2023
Simplified advisory pricing 
 
Based on your feedback, we are simplifying our pricing structure to make it easier for you to calculate your fees on platform. 

•   On Apr. 1, we will move to a simplified asset-based pricing model for Advisor Managed Portfolios (AMP), which is based on your total assets on the Wealth Management Platform (WMP). 
•   For those of you with $50 million and above in assets under management (AUM) on WMP, we’re lowering fees, with flat tiers that go down to 0 bps.  
•   For those of you under $50 million in AUM, you will continue to receive the elite pricing discounts available to you today.

This is the first step in a series of ongoing enhancements to make our pricing simpler, more transparent, and lower cost for you. The impact of these changes will vary based on your individual business, so we will be reaching out to you during the last two weeks of February with the most recent, individualized calculations. Learn more and explore resources.
AUGUST 2023
WMP: Cash Style Data added
 
 
With this enhancement, users can now view Cash style data in the Performance by Style report.
WMP: New location for Outsourced Consulting Details
To consolidate similar information, Outsourced Consulting details have moved under a new section on the Account Properties page. Some additional outsourced consulting information has also been added for business ease.  
WMP: New alert type for Product Termination Notice
A new communication alert type, Product Termination Notice, is available to notify you about the termination of a portfolio, including the termination date and an alternative portfolio recommendation by PMC Consulting Services.
JUNE 2023
WMP: Improved Bulk Model update functionality
 
 
This enhancement creates efficiencies for bulk model updates with better status notifications, reducing the trading risk that may arise from job failures.
WMP: Consistent data for Gain/Loss Reports
Data discrepancies have been resolved and the same gain/loss report data is now displayed for both Book of Business and Account Level information, reconciling important details.  
WMP: New column for faster trade reconciliation
A new column with account names was added to the trade reconciliation page to help users more easily identify accounts. 
WMP: Dropped bond sleeve process enhancement
When you update a model to drop an external bond sleeve, the sleeve manager now can view these positions via FTP files and liquidate them. This enhanced process ensures that money managers are responsible for liquidation, instead of you or Envestnet.
WMP: Lift wash restrictions
You can now lift trade-desk generated wash restrictions at the client level from an account’s Controls tab when the Trade Generated Wash Sale Restriction Scope is selected as Traded Account.
MARCH 2023
Access to alternatives via the CAIS platform now available
 
 
Financial professionals can now access a curated menu of alternative investment products, including hedge funds, private equity, real estate, and private credit, through our partnership with CAIS. The CAIS Platform seamlessly integrates with the Advisor Group ecosystem, including the leading custodians and reporting providers. Learn more.
FEBRUARY 2023
WMP: UMA models can now be updated without changing model ownership
 
 
Authorized financial professionals can now edit UMA models without changing ownership if the model’s ownership is not locked. Prior to this enhancement, the platform only allowed model owners to edit shared UMA models. Financial professionals had to change the ownership of models if they had to make any updates to a UMA model.
WMP: Rebalance frequency can now be updated without using a Goal/Strategy modification
With the new “Updated Rebalance Frequency” option in WMP, you can now update rebalance frequency without creating a Goal or Strategy Modification service request. The platform will capture the history of each rebalance frequency update.
WMP: New ability to attach a new UMA Model to an account on WMP without using a Goal/Strategy modification
You can now attach a new UMA model to an account on WMP, based on the Investment Policies configured by Advisor Group, without using a Goal or Strategy Modification. This option can be used if the risk remains the same or goes up or down by one.
WMP: Rebalance service requests can now be submitted for managed accounts outside of the scheduled rebalance dates
You can now submit a rebalance service request on a managed account (UMA, SMA, and GMP) on WMP to initiate a rebalance on the account outside of the scheduled rebalance dates.
JANUARY 2023
Interval funds no longer require pre-approval
 
 
Advisor Group no longer requires pre-approval of interval funds. Instead, you must provide a one-time disclosure to the client with the first or next interval fund purchase and retain a signed copy in the client file. In addition, you will also need to complete a Supplemental Worksheet in conjunction with each recommendation.
DECEMBER 2022
AdTrax updated to allow for visibility into branch submissions
 
 
The new AdTrax application allows everyone in the same branch to access submissions for anyone in the branch. Financial professionals and assistants can request access to additional branch employees through their firm’s technology team.
WMP: Rebalance service requests can now be submitted for managed accounts outside of the scheduled rebalance dates
WMP now offers the option to withdraw the proceeds from a harvest gains/loss request. This can be completed through one of two ways:  1) harvest a specific amount of gains or losses; 2) harvest a specific amount of expected proceeds. It is important to note that one of these methodologies must be used but they cannot be combined.
NOVEMBER 2022
WMP: New investment group column added in client’s document tab
 
 
Prior to this enhancement, investment group information was not available for the IPS and SIS documents listed under the Vault and Review categories. Because of this, users had to go through multiple attachments to find the required documents. A new investment group column is now available under the client's “Document” tab, which lists the client's reviews, quarterly performance reports, and more. The column displays the investment group that is associated with each document.
WMP: Account(s) now automatically placed on trade hold in WMP for new Goal/Strategy Modifications on model updates with cash management instructions
When a new goal or strategy modification is initiated that involves a model update, the account(s) will now automatically be placed on trade hold when the change SIS service request is generated. Prior to this enhancement, if a goal modification proposal had an update model task as part of the change SIS service request, the update model task was completed automatically. This resulted in case issues where the goal modification proposal contained cash management instructions such as raise cash, pending distribution, set up DCA, modify DCA, etc. when the account was traded outside of the service request after completing the update model task, without protecting the cash.
WMP: Accounts can now be removed and management groups can now be disabled
You now have more capabilities for managing client portfolios in a management group, including the ability to remove accounts or disable the management group entirely.
WMP: Update income protection service request
A new  'Update Income Protection' service request option is now available for GMP, SMA, and UMA business. You can initiate the request from the client’s Service tab to enable or disable the option.
WMP: Trade-generated wash sale restrictions can now be controlled
You can now control the scope of trade-generated wash sales restrictions at the client or account level.
AUGUST 2022
ADV Part 2B now accessible through WMP homepage
 
 
You now have the ability to access your ADV Part 2B document directly from your advisor ‘Profile’ page in WMP instead of having to generate a proposal to view it.
New pending distribution report added to WMP
The new Pending Distribution Report in WMP, located underneath the ‘Book of Business’ section enables you to easily view all pending distributions (e.g., raise cash or systematic withdrawals) that have been initiated on your accounts. Details on the original service request, current status, request date, etc. are also now viewable within this new report.
Documents section of WMP improved to provide additional functionality for viewing and arranging client documents
We have improved the ‘Documents’ section underneath your client’s profile in WMP to provide additional flexibility to sort and arrange documents that you may create under your client’s profile or uploaded to the client’s Vault section. You can also now sort by date created.
JULY 2022
Launched Private Wealth Consultation (PWC)
 
 
PWC is a white glove service dedicated to clients with more than $1 million in household assets, offering customized portfolio construction, tax management, individual client consultation, and more, while using Unified Managed Accounts. For assistance with the proposal, contact the IA Sales team at 877-773-8130.
JUNE 2022
Launched Next-Gen Proposal
 
 
An enhanced replacement for your current platform proposal, the Next-Gen proposal efficiently generates the Investment Strategy Proposal earlier in the process and requires fewer clicks, minimal input, and no additional “tab opening.”
Launched Genesis Model portfolio tax overlay
This overlay provides an additional layer of tax awareness you can apply to an already tax-managed portfolio. It limits capital gain exposure, which could be a portfolio’s largest expense, and is cost effective at 8 bps.
Updated Wealth Management Platform (WMP) benchmarks
The updated benchmarks available on WMP will help you show your client a fuller, broader picture of market performance – and how their portfolio compares to these broader market indices.
Communications
JANUARY 2024
Launched new Osaic.com website
Osaic recently launched a new public website, featuring a modern and unique experience unlike anything else in the financial industry, to help you attract and retain clients and financial professionals.
DECEMBER 2023
Updated additional templated messages through the Lens of Care, Clarity & Partnership 
Approximately 50 revised communication templates have been incorporated to support Supervision interactions, including Central and Field Supervision communications.
NOVEMBER 2023
Launched Osaic Connections newsletter
 
To help keep you and your teams informed of key priorities and news on how we’re supporting your growth and business success, and to share stories from you and your peers, Osaic launched a new monthly newsletter called Osaic Connections. Presently, the newsletter is sent to Osaic Wealth, Securities America, and American Portfolios Financial Professionals and Enterprises.
SEPTEMBER 2023
Templated messaging updates
 
 
Communication templates from Supervision have been updated to clarify actions required and timing considerations for account supervision, transaction review, and account periodic items.
JUNE 2023
Updated and improved VA/RILA/FIA pre-approval packet now available
 
 
To improve efficiency and ease of use, we’ve updated our paper VA/RILA/FIA Pre-Approval Packet. Several fields were revamped or removed, rationale fields have been expanded to allow more room for explanations and relevant information, and the supplemental forms have all been simplified. The new form is available in Quik! eForms and required for use, effective July 1.
Calendly approved for online appointment scheduling
To further facilitate seamless client scheduling, we are pleased to announce the addition of Calendly as an approved platform, joining OnceHub and TimeTrade. Calendly is the sole platform compatible with Smarsh multi-factor authentication.
Auto-encrypted emails for improved security
For Osaic, FSC Securities, SagePoint Financial, and Woodbury Financial, all emails sent from firm-registered email addresses are now automatically encrypted, enabling multiple layers of protection for you and your clients. Guides and client resources are available on your firm’s portal.
MARCH 2023
Employee email signature guidelines updated
 
 
Advisor Group’s employee email signature guidelines have been updated to provide consistency across departments and to include key requested information, such as time zone and department name.
AUGUST 2022
Email volume decreased by 35%
 
 
We continue to assess the way we communicate with financial professionals, make improvements to communication tone and effectiveness, and reduce email volume whenever possible. On average, email volume decreased by 35% for the first six months of the year, as compared to the last six months of 2021.
Did you know?
Q1 2024
Letter of Instruction for Certain Distribution Thresholds Not Required 
 
If you are initiating a transaction and there are standing instructions, you will not need a Letter of Instruction (LOI). The processing team will send a copy of the standing instructions to NFS, if requested.
Report Available for Funds Not Released for Trading
There is a report available on Wealth Management Platform (WMP) to see WMP accounts that have not been released for trading on the Practice tab. To access a guide on how to generate the report:
  • Osaic Wealth: Visit the Advisory Services page on Advisor Portal, then choose either of the four programs. Under New Accounts, select Accounts Not Invested.
  • Securities America: Visit the Wealth Management page on Business Center, and under Top WMP Resources, select Accounts Not Invested.
  • Triad Advisors: Visit the Wealth Management page on Landing Page, and under Top WMP Resources, select Accounts Not Invested.
RMD Reports Available in Wealthscape
NFS has a firm-level required minimum distribution (RMD) report published for IRA Beneficiary Distribution Accounts (BDAs) in Wealthscape. To access the report in Wealthscape, click the main menu and launch Reports. In the new window, use the search bar to find and launch the ‘IRA BDA RMD’ report.
SEPTEMBER 2023
Periodic Investment Plan updates
 
 
Advisor Support now accepts verbal instructions to increase the dollar amount of a periodic investment plan.
eQuipt: Auto-pay for recurring fees
Financial planning clients have the option to set up auto-pay in eQuipt Client Portal for their recurring fees. 
AUGUST 2023
Broadridge AdvisorStream: Admin subscription updates
 
 
You can now set up your support staff as delegates to see Broadridge’s content library on the Marketing Hub.
JUNE 2023
Reduced NIGOs for insufficient funds & pending trades
 
 
As a process improvement to streamline trades, the home office now reviews pending trades to supplement insufficient funds before determining approval status. 
Tech support for password resets
Need a password reset? The home office can help you directly via dedicated support lines based on your firm affiliation.

Osaic - 800-821-5100  Fast Track 1-1-1
FSC Securities - 800-547-2382 Fast Track 1-1-1
SagePoint Financial - 800-552-3319 Fast Track 1-1-1
Securities America - 833-204-5528
Triad Advisors - 800-720-4003
Woodbury Financial - 800-800-2638 Fast Track 1-1-1
Improved Trading & Operations workflows and response times
To streamline workflows and enhance response times, we have made significant investments in automation across various processes. As a result, we’re experiencing a 20% to 50% improvement in ticket fulfillment time. Automation will remain a primary emphasis moving forward. For additional details, refer to Tim Hodge’s quarterly update sent in June.
eQuipt: Functionality to re-send client paperwork for eSignature
As a reminder, eQuipt for New Accounts gives you the ability to re-send your clients an email prompting eSignature by clicking “Void eSignature.”
APRIL 2023
Quik! eForms: Improved auto population
 
 
Issues with the ACH and IRA-ESA Distribution forms have been resolved, auto-populating the owner and signatory name for business ease.
Advisory fees may be published on websites and social media accounts
You may publish your advisory fees on your website and social media platforms. The published fee schedule must accurately reflect the range of fees charged to all advisory or financial planning clients of the firm and must match what is disclosed on the ADV. Client fees cannot deviate from the published fee schedule even if an exception is made. If any lower or higher fees are negotiated, the published fee schedule must be promptly updated. Review and approval prior to publication is still required by Advertising Supervision.
MARCH 2023
eQuipt 1099s easier to locate
 
 
We’ve increased the visibility of 1099s in eQuipt, including adding a banner message with a link to a detailed PDF guide and alerting you to their availability through the Weekly Edge newsletter.
FEBRUARY 2023
Forefield delegate access
 
Information about the Broadridge Forefield Marketing Library is available on the Marketing Hub.  As part of your subscription, you can add delegate access to admins in your office. For more information, visit our Marketing Hub or contact Broadridge at (800) 233-2834.
JANUARY 2023
Executive leadership team bios published
 
 
We continue to improve your ability to access information about the teams who support you. We recently added a link to the bios for our Executive Leadership Team within the contact section of your firm’s portal for quick access.
Advisor Group email domains published for more effective email delivery
To help limit the number of emails from Advisor Group that may be misdirected into a spam folder, and to allow you to more effectively identify fraudulent emails, a list of firm email domains and addresses has been compiled for reference and can be accessed on your firm’s portal.
Wealth Management Platform (WMP) tips and tricks available 
Our frequently published WMP Tips and Tricks provide you with a variety of resources to help you navigate the platform and serve your clients. Our most recent publication highlights tips to help monitor your clients’ accounts for additional funding, which is timely since many clients may submit deposits and contributions and/or catch-ups before the tax deadline. Visit your firm’s portal for the latest tips.
NOVEMBER 2022
Third-party vendor training available
 
 
At ConnectED, representatives from Redtail, Albridge, and other financial planning software vendors provided onsite training, breakout sessions, and 1x1 consultations. Click here to review a list of vendor training resources.
Securities America Financial professionals: a new DocuSign Guide is available to share with clients
You can now provide this DocuSign guide to clients, which provides instructions on how to use the eSign process successfully.
OCTOBER 2022
Mobile deposit limit has been increased
 
 
The allowable limit for mobile deposits was raised to $100,000 for client deposits and up to $10 million for submissions made by a financial professional.
Redtail integration available through WMP
You may now leverage your Redtail CRM to save significant time and avoid redundant data entry. If you’d like to request integration support, please contact IA Support (Fast Track 1-2-1-1).
SEPTEMBER 2022
A reminder now appears on eQuipt regarding the permitted use of government-issued IDs for certain transactions
 
 
A reminder was added alerting financial professionals that government-issued identification is now a viable option when a Signature Card is required for a transaction.
AUGUST 2022
The maximum allowable hourly rate for financial planning has increased
 
 
The maximum allowable hourly rate for financial planning was raised from $300 to $750 per hour.
JULY 2022
Statements requirement eliminated for ACATs
 
 
Statements are no longer required for incoming ACAT transfers at Pershing and NFS, although it is considered a best practice to submit them. In eQuipt, you are also no longer required to upload a recent account statement in the Account Transfers Module when using Contra-Firm and selecting an ACAT-participating firm from the search results.
Suggestions or ideas?
 
Do you have ideas for ways we could make it easier for you to do business with us? Send us your feedback or reach out to one of your National Operational Excellence Council (NOEC) representatives.
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Osaic, Inc. 20 E Thomas Rd Suite 2000 Phoenix, AZ, 85012, US

Securities and investment advisory services are offered through the firms: Osaic Wealth, Inc.,Triad Advisors, LLC, and Osaic Institutions, Inc., broker-dealers, registered investment advisers, and members of FINRA and SIPC. Securities are offered through Securities America, Inc., American Portfolios Financial Services, Inc., and Ladenburg Thalmann & Co., broker-dealers and member of FINRA and SIPC. Advisory services are offered through Arbor Point Advisors, LLC, American Portfolios Advisors, Inc., Ladenburg Thalmann Asset Management, Inc., Osaic Advisory Services, LLC., and Securities America Advisors, Inc., registered investment advisers. Advisory programs offered by Osaic Wealth, Inc., Securities America Advisors, Inc., and Triad Advisors, LLC., are sponsored by VISION2020 Wealth Management Corp., an affiliated registered investment adviser.

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