Your Clients Get Premium Service. Your RMs Get Time to Build Relationships.
Wealth management operations require balancing personalized client engagement with rigorous compliance, portfolio servicing, SIP management, and fee collection — all simultaneously. Round Infinity connects every client interaction and operational workflow on one AI-powered platform so your relationship managers, compliance teams, and operations staff spend less time on manual processes and more time delivering the advisory experience high-net-worth clients demand.
Wealth Management Firms
RIAs & Independent Advisors
Portfolio Management Services (PMS)
Stock Brokerages & Trading Platforms
Mutual Fund Distributors
Family Offices & HNI Advisory
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How Round Infinity AI & automation works for Wealth Management & Brokerage:
✓Client Self-Service Portal — Clients view holdings, download statements and tax documents, submit service requests, upload KYC documents, track open requests in real time, and manage notification preferences — without calling the RM
✓Digital Account Opening & KYC — Prospect-to-client onboarding automated with digital KYC, risk profiling, and FATCA/CRS documentation; incomplete onboarding auto-resumed; account opening TAT reduced from days to hours
✓SIP & Recurring Investment Management — Clients initiate, modify, pause, resume, or cancel SIP mandates from the portal; failed debit alerts sent with one-click retry; AI agent guides new SIP setup end-to-end
✓AI-Powered Client Support — AI resolves 60–70% of client queries across chat, email, voice, and WhatsApp without human intervention; multilingual support; complex queries routed intelligently to the right advisor
✓Compliance & Back-Office Automation — Data triggers on account events — large withdrawals, margin calls, document expirations — alert advisors and compliance teams automatically; full interaction logs maintained for audit and dispute resolution
✓Fee Collection & Partner Network — Advisory and management fees invoiced automatically with WhatsApp payment links; RIA and IFA partner portals with self-service request tracking, commission statements, and SLA-driven escalations
70%
Faster Client Onboarding & KYC Completion
3x
More Clients Covered Per RM With Automation Support
95%
Fee Collection Rate With Automated Billing Workflows
The Complete Wealth Management Client Journey — Automated
From first inquiry and account opening to portfolio self-service, SIP management, periodic reviews, fee billing, and long-term relationship expansion — every step managed with precision.
Prospect Inquiry & Lead Management
1
Prospective client expresses interest — via referral, website, event, or outbound campaign; AI agent captures contact details, investable assets, and investment objectives; discovery meeting booked automatically with the right RM based on segment and capacity.
2
RM conducts discovery meeting — full prospect profile with financial goals, risk appetite, existing portfolio, and liquidity needs captured; investment proposal workflow triggered; follow-up sequence initiated automatically if no response within defined days.
3
Investment proposal delivered and tracked — proposed asset allocation and product recommendations generated; delivered via the client portal and WhatsApp; advisor notified when client views or responds to the proposal.
Account Opening & Onboarding
4
Account opening documentation collected digitally — identity, address proof, bank account details, and photographs collected via WhatsApp link or client portal; FATCA/CRS declarations completed digitally; incomplete onboarding steps auto-resumed with targeted reminders so no prospect falls through the gap.
5
KYC verification and AML screening completed — KYC documents verified; AML checks triggered automatically; exceptions flagged to the compliance team; client notified at each milestone so onboarding status is always transparent.
6
Risk profiling and suitability assessment completed — investor risk questionnaire administered digitally; risk category assigned; investment recommendations validated against the suitability framework before account activation; full compliance audit trail created.
7
Account activated and client welcomed — account confirmation and client portal login delivered; welcome call scheduled with the RM; client sets notification and alert preferences for margin calls, large transactions, and document ready notifications.
Portfolio Servicing & Client Self-Service
8
Client accesses portfolio via self-service portal — real-time portfolio value, XIRR returns, benchmark comparison, and asset allocation breakdown available on demand; holdings-level P&L, cost basis, and unrealized gains visible per position; goal-based views for retirement, education, or home purchase; historical performance charts from 1M to since inception — without contacting the RM.
9
Client downloads statements and tax documents — account statements, trade confirmations, and tax documents (1099s, K-1s, or equivalent) downloaded on demand; performance reports generated for tax filing or personal records; full communication history across all channels accessible in one place.
10
Client submits a service request or portfolio change — address changes, beneficiary updates, wire instructions, account linking, redemptions, rebalancing, or new investment requests submitted via portal or WhatsApp; AI agent captures request details and routes to the right team with full context; client tracks request status in real time.
11
Request processed and client notified — request reviewed against suitability and compliance rules; any concerns flagged to the RM; approved request executed; client receives transaction confirmation and updated portfolio records digitally on completion.
SIP & Recurring Investment Management
12
SIP initiated or managed by client from the portal — new SIP set up with AI agent guidance on amount, frequency, and fund selection; existing mandates paused, resumed, or cancelled self-service; automated reminders sent before each deduction date via WhatsApp, SMS, or email; SIP contribution tracker shows total invested vs. current value and upcoming schedule.
13
Failed debit alert sent and recovery handled automatically — failed SIP debit triggers an immediate WhatsApp alert with a one-click retry or mandate update link; RM notified if failure remains unresolved; escalation to advisor for fund switch or rebalancing within SIP triggered if required.
Periodic Reviews & Ongoing Engagement
14
Portfolio review meeting scheduled automatically — review calendar sent to client ahead of quarter-end; RM receives a pre-prepared client brief with portfolio performance, allocation drift, and benchmark comparison; meeting confirmed with automated reminders for both client and advisor; post-meeting follow-up and action item tracking triggered automatically.
15
Proactive market and product campaigns sent by segment — market commentary, new product launches, tax-loss harvesting season alerts, and investment window reminders sent to the right client segments at the right time; AI-generated message drafts reviewed and approved by the advisor before sending.
16
Annual KYC renewal and risk profile update triggered — annual KYC review reminder sent to client; updated documents collected digitally; risk profile re-assessed; suitability confirmed; records updated with full audit trail; data triggers alert the compliance team if documents are approaching expiry.
Fee Billing, Collections & Compliance
17
Advisory or management fee invoice generated automatically — fee calculated based on AUM, performance, or fixed retainer as per the mandate; invoice generated and delivered via WhatsApp and portal with a direct payment link; failed ACH or debit transactions trigger automated recovery workflows with retry logic.
18
Compliance triggers monitored continuously — data triggers fire automatically on large withdrawals, margin calls, document expirations, and suspicious transaction patterns; compliance team and RM alerted immediately; all client conversations and interactions logged across every channel for audit, dispute resolution, and regulatory examination readiness.
Every Wealth Management Workflow Automated
From digital onboarding and client self-service to SIP management, compliance, fee billing, field advisor coordination, and partner network operations — one connected platform.
📋 Client Self-Service Portal
- Real-time portfolio value, XIRR returns, benchmark comparison, and asset allocation breakdown
- Holdings-level P&L — unrealized gains, cost basis, and current value by position
- Download statements, tax documents (1099s, K-1s), and trade confirmations on demand
- Submit service requests — address changes, beneficiary updates, wire instructions, account linking
- Upload KYC documents, track open request status in real time, and view full communication history
- Manage notification and alert preferences — margin calls, large transactions, document ready
📄 Account Opening & KYC
- Digital document collection and KYC/AML verification with milestone status tracking
- Automated follow-ups for missing, expired, or incomplete documents
- Incomplete onboarding auto-resumed — missing docs, e-signatures, and KYC steps recovered automatically
- Risk profiling, suitability assessment, and FATCA/CRS declaration workflows
- Compliance-ready audit trail of every onboarding step with client notifications at each milestone
💸 SIP & Recurring Investment Management
- Initiate, modify, pause, resume, or cancel SIP mandates from the client portal
- Automated reminders before each SIP deduction date via WhatsApp, SMS, or email
- Failed debit alerts with one-click retry or mandate update workflow
- SIP contribution tracker — total invested vs. current value and upcoming schedule
- AI agent guides new SIP setup — amount, frequency, fund selection, and mandate registration
- Escalation to advisor for fund switch or rebalancing within SIP
💬 AI-Powered Client Support
- AI resolves 60–70% of client queries without human agent involvement
- Support across chat, email, voice, and WhatsApp — 24/7
- Knowledge base articles surfaced before escalating to a human advisor
- Intelligent routing of complex queries to the right RM or specialist
- Multilingual support for diverse and international client bases
📅 Advisor Appointment & Engagement
- AI agent books, reschedules, and cancels advisor meetings from chat, WhatsApp, or portal
- Calendar sync and automated reminders for both clients and advisors
- Initiate live chat or escalate to voice from within the portal
- Post-meeting follow-up workflows and action item tracking triggered automatically
- RM receives pre-prepared client brief before every review meeting
🚘 Field Advisor Management
- Schedule and track client visits and advisor field activity from one dashboard
- Assign tasks, follow-ups, and service actions to field advisors with SLA tracking
- Mobile-first interface for advisors managing clients on the go
- Real-time visibility into advisor workload, coverage gaps, and visit outcomes
- GPS-based visit check-in and digital visit report capture
🔠 Proactive Client Campaigns
- Multi-channel sequences — email → WhatsApp → call — for portfolio reviews, tax-loss harvesting, and product launches
- Trigger outreach on account events — anniversary, milestone, market movement, or lifecycle stage
- Personalized messaging based on account type, segment, AUM tier, or investment profile
- AI-generated message drafts with advisor review and approval before sending
⚖️ Compliance & Back-Office Automation
- Data triggers on account events — large withdrawals, margin calls, document expirations — alerting advisors and compliance teams automatically
- Full conversation and interaction logs across all channels for audit and dispute resolution
- No-code workflows for account reviews, regulatory disclosures, and periodic statement delivery
- Workflow documentation maintained for regulatory examination readiness
- Suspicious transaction and AML workflow triggers with escalation routing
💳 Fee Billing & Collections
- AUM-based, performance, or flat fee calculation and automated invoice generation
- Payment link delivery via WhatsApp with due date and fee breakdown
- Failed ACH/debit recovery workflows with automated retry logic
- Overdue fee escalation sequences without RM involvement
- Revenue analytics by RM, product, client tier, and service line
🤝 Partner & RIA Portal
- Self-service portal for RIAs, sub-advisors, IFAs, and custodian partners
- Partners raise issues, track requests, and access shared resources independently
- SLA-driven ticket management for partner escalations
- Separate branded portal experience per partner if required
- Commission calculation, payout statements, and AUM dashboards for distributors
👨💻 Internal Employee Service Desk
- Helpdesk for advisors and ops teams — platform access, compliance queries, and tool requests
- Automated provisioning and deprovisioning workflows for new and departing advisors
- HR and IT service request management in one unified system
- SLA tracking on all internal requests with escalation routing
- Timesheet, leave, expense, and asset management for practice staff
💸 Portfolio Performance Dashboard
- Real-time or end-of-day portfolio value, absolute returns, and XIRR with benchmark comparison
- Historical performance charts — 1M, 3M, 6M, 1Y, and since inception
- Goal-based portfolio view — retirement, child education, home purchase
- Asset allocation breakdown across equity, debt, alternatives, and cash
- Downloadable performance reports for tax filing, personal records, or advisor review
Why Round Infinity Fits Wealth Management Operations
Wealth management requires balancing personalized service, strict compliance, and operational efficiency across advisors, clients, and partner networks — Round Infinity connects every dimension on one platform.
💬 Premium Client Experience at Scale
- Clients access portfolio data, manage SIPs, download documents, and submit requests 24/7 without calling the RM
- AI resolves the majority of routine queries instantly; RMs focus on advice and relationship-building
- Every client interaction across every channel logged and accessible in the advisor workspace
⚖️ Compliance-First Architecture
- Suitability and compliance checks built into every investment and servicing workflow
- Data triggers fire automatically on any account event requiring compliance attention
- Full audit trail for every client action, recommendation, document, and approval maintained without manual effort
⚙️ Scales With Your AUM
- Handle 3x more client accounts per RM without any drop in service quality
- Multi-product platform supports PMS, mutual funds, direct equity, and alternatives
- Scales from a boutique advisory practice to a large multi-city wealth management firm
Build Custom Wealth Management Applications — No Coding Required
Configure client portals, compliance workflows, advisor tools, and partner applications specific to your firm without any development effort.
- HNI & UHNI Client Onboarding Portals with White-Label Branding
- Estate Planning & Succession Advisory Workflows
- Insurance & Alternative Investment Coordination Portals
- Tax Harvesting & Year-End Planning Campaign Workflows
- Family Portfolio Consolidation & Multi-Member Reporting
- NRI Investment Onboarding & Repatriation Workflows
- Corporate Treasury & Cash Management Client Portals
- RM Performance, Coverage & AUM Growth Dashboards
- Client Tier Management & Service Level Differentiation Workflows
- Regulatory Audit & Inspection Preparation Workflows
- Advisor Certification & Product Training Portals for Distributors
- Client NPS & Satisfaction Tracking Across Segments
Deliver the Premium Advisory Experience Your Clients Expect — Without the Operational Burden.
Your clients access their portfolio, manage SIPs, and get queries resolved 24/7 through a self-service experience that reflects your firm's quality.
Your advisors cover more clients at a higher standard with AI handling routine interactions, document follow-up, and scheduling.
Your compliance and operations teams get full visibility with automated triggers, complete audit trails, and examination-ready documentation.