If you’re a Registered Investment Advisor (RIA), you already know how quickly compliance rules can change. One new update from the SEC, and suddenly your entire team is scrambling.
But what if you didn’t have to scramble anymore?
At SOLVD, we help financial firms build smarter, more automated systems with Salesforce Financial Services Cloud (FSC). When set up the right way, FSC helps you stay ahead of regulatory changes—not just react to them.
“Most firms are left reacting, but with the right systems in place, you can actually get ahead of these changes.” – Kaydon Morgan, SOLVD Consultant
Here’s how it works.
When the SEC changes a rule, you shouldn’t have to train every advisor manually. With FSC, you don’t.
You can use Action Plans to create step-by-step workflows that are rolled out to your whole firm in seconds. Each plan includes assigned tasks, due dates, and even escalations.
“You just need to launch a new action plan that will then assign the right tasks to the right individuals automatically.” – Kaydon Morgan, SOLVD Consultant
Whether it’s an annual review or a disclosure delivery, the process is consistent—and no one gets left out.
Yes, Salesforce dashboards are great for tracking sales. But with a little customization, they’re just as powerful for compliance.
You can quickly see:
This gives your compliance team clear insight—and early warning when something’s off.
“This kind of visibility helps your compliance team spot the risks early and not after the fact.” – Kaydon Morgan, SOLVD Consultant
Need to show what was shared, when, and with whom? FSC makes it simple. With Interaction Summaries, you can document every meeting, disclosure, or compliance conversation—right in the client record.
That means your team builds a clean, auditable trail without extra effort.
“It gives you a full timeline of what was shared, when it was shared, and who delivered it.” – Kaydon Morgan, SOLVD Consultant
Instead of waiting for something to expire—or worse, get missed—FSC can send your team reminders automatically.
These compliance nudges can:
Everything stays on schedule without someone having to chase it down manually.
With Salesforce FSC, you’re not reacting to compliance problems. You’re preventing them.
You get:
✅ Structured workflows
✅ Logged interactions
✅ Real-time dashboards
✅ Smart reminders
“You’ve built audit readiness into your day-to-day operations.” – Kaydon Morgan, SOLVD Consultant
We help RIAs like you build systems that make compliance smoother, simpler, and more automatic.
📅 Schedule a free consultation with SOLVD.cloud to see how FSC can support your team before the next regulation rolls in.
From my initial call with Spencer through project implementation with John and Evan, my experience with the SOLVD team was excellent. They were quick to understand our business needs, clear when explaining the reasoning behind proposed solutions, transparent when reporting on progress and timeline, and all around enjoyable to work with. Would highly recommend and looking forward to continue working with them in the future!
SOLVD was very straight forward with everything needed to complete the project. No surprises, no issues, and cost was aligned with the estimate. They made implementation easy and quick.
As a rule, I'm pretty stingy with my recommendations. So it's a pleasure for me to recommend Solvd as a top-flight Salesforce consultancy. Solvd recently led our company's conversion to the Lightning interface and did it on time, on budget and made it easy for me and my team. I know I'll use their services again, and am confident they can do the same for you.
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