Practice Intelligence
Brief for Friday, August 21
85
Practice Health Score
Healthy — keep momentum going.
13Clients
10Active
$135.2MAUM
118Action Items
⚡ 15 items need attention — Practice Health 85/100
Your practice has 13 clients under management across $135M in assets. 118 items need attention today. 10 clients have not had an annual review in over 365 days — schedule immediately to maintain Regulation B.I. documentation standards. 10 clients are missing a...
Recommended Action: Immediate action: Morrison Household — Overdue: Morrison Household. Complete now to avoid regulatory exposure.
Critical Items
Morrison Household — Overdue: Morrison Household — Form CRS 2026
Form CRS was due 2026-06-30 and remains Pending. Regulatory basis: SEC Rule 17a-14. Complete immediately to avoid compliance exposure.
View Compliance →
Morrison Household — Overdue: Morrison Household — Advisory Agreement 2026
Form ADV was due 2026-06-30 and remains Pending. Regulatory basis: Investment Advisers Act §202(a)(11). Complete immediately to avoid compliance exposure.
View Compliance →
Morrison Household — Overdue: Morrison — KYC Onboarding
KYC Review was due 2026-07-28 and remains Pending. Regulatory basis: KYC Review. Complete immediately to avoid compliance exposure.
View Compliance →
Steinberg-Cohen Family — Missing Investment Advisory Agreement
Investment Advisory Agreement is required for active advisory relationships under RIA. This is a critical compliance gap.
Upload Document →
Steinberg-Cohen Family — Missing Form CRS
Form CRS is required for active advisory relationships under RIA. This is a critical compliance gap.
Upload Document →
Steinberg-Cohen Family — Missing Form ADV Part 2A
Form ADV Part 2A is required for active advisory relationships under RIA. This is a critical compliance gap.
Upload Document →
Steinberg-Cohen Family — Overdue: Steinberg-Cohen Family — Form CRS 2026
Form CRS was due 2026-06-30 and remains Pending. Regulatory basis: SEC Rule 17a-14. Complete immediately to avoid compliance exposure.
View Compliance →
Steinberg-Cohen Family — Overdue: Steinberg-Cohen Family — Advisory Agreement 2026
Form ADV was due 2026-06-30 and remains Pending. Regulatory basis: Investment Advisers Act §202(a)(11). Complete immediately to avoid compliance exposure.
View Compliance →