Wealth management and investment advisory firms produce a continuous stream of client-facing documents — quarterly portfolio statements, annual review reports, investment policy statements, regulatory disclosures, and trade confirmations. Producing these accurately, at scale, and on the regulatory deadlines required by FINRA and the SEC is one of the most operationally intensive challenges for growing advisory practices. EDocGen automates this document cycle directly from your portfolio management and CRM platforms.
Client Reporting Documents EDocGen Automates
Account valuation by asset class, holdings detail, transaction summary, realized and unrealized gains and losses, income received, and benchmark comparison — generated in bulk from portfolio management data at quarter-end.
Time-weighted and money-weighted return calculations, benchmark comparison charts, attribution analysis, and fee impact summary — generated from performance reporting system data with embedded charts.
Personalized per-client IPS with risk tolerance classification, investment objectives, asset allocation policy ranges, rebalancing triggers, restrictions and ESG guidelines, and governance structure — generated from financial planning system and CRM data.
Comprehensive annual client review packages including portfolio summary, progress toward financial goals, significant decisions during the year, and recommendations for the coming year — generated from CRM and planning system data for advisor-client review meetings.
New client proposal documents including proposed asset allocation, model portfolio illustration, fee schedule, and firm description — generated from financial planning and CRM data for prospect presentations.
Multi-account household-level statements consolidating all accounts for a family or entity into a single document, with total household asset summary, allocation across accounts, and household-level performance.
Regulatory Compliance Documents
Form ADV Part 2 — Annual Delivery
The SEC requires RIAs to deliver an updated Form ADV Part 2 brochure to all existing clients within 120 days after the fiscal year-end, or to offer it in writing. EDocGen generates annual Form ADV delivery letters in bulk from the CRM, with the updated ADV date, a link to the current brochure on the firm's website, and the client's right to request a paper copy. Every delivery is logged with client ID, advisor, timestamp, and acknowledgment status for SEC exam response.
Form CRS — Customer Relationship Summary (Reg BI)
Dual registrants and broker-dealer-affiliated RIAs must deliver Form CRS to retail investors at the start of the relationship and at each new recommendation type. EDocGen generates Form CRS at account opening from firm and representative data, formatted to the SEC's prescribed two-page structure, and logs delivery acknowledgment for Reg BI compliance documentation.
Reg BI Best-Interest Documentation
Regulation Best Interest requires documentation of the basis for each recommendation — the investor's profile, the securities considered, and the rationale for the best-interest determination. EDocGen generates best-interest documentation from financial planning and CRM data, creating a structured recommendation record that supports FINRA Rule 4511 retention requirements.
MiFID II Cost and Charges Disclosures
EU-regulated wealth managers must provide clients with pre-trade (ex-ante) and post-trade (ex-post) cost and charges disclosures showing all fees, commissions, taxes, and transaction costs in both percentage and monetary terms. EDocGen generates MiFID II-compliant cost and charges documents from trading and fee data with the prescribed format and content requirements.
Integration With Wealth Management Platforms
| Platform Category | Named Platforms | Documents Generated |
|---|---|---|
| Portfolio Management | Orion Advisor Tech, Envestnet, Tamarac, Addepar, Black Diamond | Portfolio statements, performance reports, household consolidated statements |
| CRM | Salesforce Financial Services Cloud, Redtail CRM, Wealthbox, Practifi | IPS, annual reviews, Form ADV delivery letters, onboarding packages |
| Financial Planning | eMoney Advisor, MoneyGuidePro, RightCapital, NaviPlan | Goal progress reports, proposal documents, retirement income illustrations |
| Trading / Rebalancing | Orion Trading, iRebal, Riskalyze (Nitrogen) | Trade confirmations, rebalancing trade summaries, drift notifications |
| Performance Reporting | Morningstar Office, Advent Axys, Orion Performance | TWR/MWR performance reports, benchmark comparison documents |
Why Wealth Management Firms Choose EDocGen Over Generic Tools
| Capability | EDocGen | Word / Excel + Mail Merge | Conga |
|---|---|---|---|
| Portfolio system integration (Orion, Envestnet) | Native REST API | Manual data export required | Salesforce-bound |
| Bulk statement generation (thousands per quarter) | Yes — automated batch run | Manual per client | Limited volume |
| FINRA audit trail for each document | Immutable, exportable | None | Not FINRA-grade |
| Embedded charts and performance tables | Yes — from data feed | Manual chart copy-paste | Limited |
| Form ADV delivery tracking | Per-client delivery log with acknowledgment | No tracking | Not included |
Automate your wealth management client documents
Request a demo showing quarterly statement generation, Form ADV annual delivery workflows, or IPS automation from your portfolio management platform. Advisors at RIAs, broker-dealers, and family offices welcome.
Frequently Asked Questions
What document automation software is best for wealth management firms?
EDocGen is used by RIAs, broker-dealers, and family offices to automate portfolio statements, investment policy statements, Form ADV Part 2 delivery letters, Reg BI disclosures, trade confirmations, and performance reports. It integrates with Salesforce Financial Services Cloud, Orion, Envestnet, Tamarac, and Addepar via REST API.
Can EDocGen generate investment policy statements for wealth management clients?
Yes. EDocGen generates personalized Investment Policy Statements from CRM and financial planning system data, including client risk tolerance, investment objectives, asset allocation targets, rebalancing guidelines, and restriction schedules. IPS documents are generated on-demand for new clients and regenerated at each annual review cycle when client circumstances change.
Does EDocGen automate Form ADV Part 2 annual delivery for RIAs?
Yes. EDocGen generates personalized Form ADV Part 2 delivery letters for all existing clients annually, meeting SEC annual delivery requirements. Delivery letters are generated in bulk from the CRM client list, with the updated ADV date and brochure link, and every delivery is logged with client ID, advisor, timestamp, and acknowledgment status for SEC exam response.
How does EDocGen integrate with Orion or Envestnet for portfolio reporting?
EDocGen connects to Orion, Envestnet, Tamarac, and Addepar via REST API, pulling portfolio valuation, performance, and allocation data to populate client-facing statement and report templates. Documents are generated in bulk at quarter-end cycle close or on-demand for individual client review meetings.
Does EDocGen support MiFID II cost and charges disclosure documents?
Yes. EDocGen generates MiFID II-compliant pre-trade (ex-ante) and post-trade (ex-post) cost and charges disclosure documents for EU-regulated wealth management and investment firms. Documents are populated from trading and fee data with the prescribed percentage and monetary cost breakdown required under MiFID II Article 24(4).