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Deploy the Best of Robo Technology to Delight …...2016/02/10 · Deploy the Best of Robo...
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Laserfiche | T3 Advisor Conference Deploy the Best of Robo Technology to Delight Clients through ECM Timothy Welsh, CFP President, Nexus Strategy Chad Christensen Partner & Chief Compliance Officer Semper Augustus Investments
Transcript of Deploy the Best of Robo Technology to Delight …...2016/02/10 · Deploy the Best of Robo...
Laserfiche | T3 Advisor Conference
Deploy the Best of Robo Technology to
Delight Clients through ECM
Timothy Welsh, CFP
President, Nexus Strategy
Chad Christensen
Partner & Chief Compliance Officer
Semper Augustus Investments
Laserfiche | T3 Advisor Conference
Aging Bull Market
Technology Changes
Regulatory Change – DOL Fiduciary
Competitive Pressures – New Robo Entrants
Client Expectations
2
Industry Pressure Points
Laserfiche | T3 Advisor Conference
Adopt the best of the Robos:
Automate, automate, automate
Simplicity
Focus on the client experience
4
Strategies for Advisors
Laserfiche | T3 Advisor Conference
Deploy Client Engagement/Experience Technology
Paperless Account Opening
Enhanced Website
Client Portal
Goals-based Financial Planning
Digital Signatures
Account Aggregation
5
Strategies for Humans
Laserfiche
Content Server
Workflow
Engine
Enterprise
Search
Laserfiche
Servers
Document
Imaging Records
Management
Document
Management
Multi-Channel
Capture
Document
Distribution
Business
Process
Management
Electronic
Forms
Governance,
Risk &
Compliance
Document
Management
Laserfiche Enterprise Content Management (ECM) Methodology
Laserfiche
Content Server
Workflow
Engine
Enterprise
Search
Laserfiche
Servers
Document
Imaging Records
Management
Document
Management
Multi-Channel
Capture
Mobile Capture
MFP and Network
Capture and Import
Photo Capture
Electronic Import
e-Form Capture
High-Volume Import
Document
Distribution
Business
Process
Management
Electronic
Forms
Governance,
Risk &
Compliance
Document
Management
Multi-Channel
Capture
Mobile Capture
MFP and Network
Capture and Import
Photo Capture
Electronic Import
e-Form Capture
High-Volume Import
Laserfiche ECM Methodology
Electronic
Forms
Form Builder
BPMN Routing
Task Management
Mobile Approval
Reports
Business
Process Management
Pre-built Workflows
Custom Notifications
and Triggers
C# and VB.NET
Script Editor
Search and
Reporting Interface
Laserfiche
Content Server
Workflow
Engine
Enterprise
Search
Laserfiche
Servers
Document
Imaging Records
Management
Document
Management
Multi-Channel
Capture
Mobile Capture
MFP and Network
Capture and Import
Photo Capture
Electronic Import
e-Form Capture
High-Volume Import
Governance,
Risk and Compliance
DoD 5015.2-certified
Records Management
VERS-compliant Electronic
Records Management
Wizard-based Audit Trail
Configuration
Audit Trail Reporting
Digital Signatures
Document
Distribution
Electronic
Forms
Document
Management
Version Control
Basic and
Advanced Search
Unified Metadata
Models
Bundled OCR/
Full-text Indexing
Governance,
Risk &
Compliance
Document
Management
Business Process
Management
Pre-built Workflows
Custom Notifications
and Triggers
C# and VB.NET
Script Editor
Search and
Reporting Interface
Laserfiche ECM Methodology
Electronic
Forms
Form Builder
BPMN Routing
Task Management
Mobile Approval
Reports
Business
Process Management
Pre-built Workflows
Custom Notifications
and Triggers
C# and VB.NET
Script Editor
Search and
Reporting Interface
Laserfiche
Content Server
Workflow
Engine
Enterprise
Search
Laserfiche
Servers
Document
Imaging Records
Management
Document
Management
Multi-Channel
Capture
Mobile Capture
MFP and Network
Capture and Import
Photo Capture
Electronic Import
e-Form Capture
High-Volume Import
Governance,
Risk and Compliance
DoD 5015.2-certified
Records Management
VERS-compliant Electronic
Records Management
Wizard-based Audit Trail
Configuration
Audit Trail Reporting
Digital Signatures
Document
Distribution
Document
Management
Version Control
Basic and
Advanced Search
Unified Metadata
Models
Bundled OCR/
Full-text Indexing
Governance,
Risk &
Compliance
Document
Management
Laserfiche ECM Methodology
Electronic
Forms
Form Builder
BPMN Routing
Task Management
Mobile Approval
Reports
Electronic
Forms
Form Builder
BPMN Routing
Task Management
Mobile Approval
Reports
Business
Process Management
Pre-built Workflows
Custom Notifications
and Triggers
C# and VB.NET
Script Editor
Search and
Reporting Interface
Document
Distribution
Web Public
Portal
Portable
Archives
Desktop, Web
and Mobile Clients
Laserfiche
Content Server
Workflow
Engine
Enterprise
Search
Laserfiche
Servers
Document
Imaging Records
Management
Document
Management
Multi-Channel
Capture
Mobile Capture
MFP and Network
Capture and Import
Photo Capture
Electronic Import
e-Form Capture
High-Volume Import
Governance,
Risk and Compliance
DoD 5015.2-certified
Records Management
VERS-compliant Electronic
Records Management
Wizard-based Audit Trail
Configuration
Audit Trail Reporting
Digital Signatures
Document
Management
Version Control
Basic and
Advanced Search
Unified Metadata
Models
Bundled OCR/
Full-text Indexing
Governance,
Risk &
Compliance
Document
Management
Laserfiche ECM Methodology
Document
Distribution
Web Public
Portal
Portable
Archives
Desktop, Web
and Mobile Clients
Electronic
Forms
Form Builder
BPMN Routing
Task Management
Mobile Approval
Reports
Business
Process Management
Pre-built Workflows
Custom Notifications
and Triggers
C# and VB.NET
Script Editor
Search and
Reporting Interface
Document
Distribution
Web Public
Portal
Portable
Archives
Desktop, Web
and Mobile Clients
Laserfiche
Content Server
Workflow
Engine
Enterprise
Search
Laserfiche
Servers
Document
Imaging Records
Management
Document
Management
Multi-Channel
Capture
Mobile Capture
MFP and Network
Capture and Import
Photo Capture
Electronic Import
e-Form Capture
High-Volume Import
Governance,
Risk and Compliance
DoD 5015.2-certified
Records Management
VERS-compliant Electronic
Records Management
Wizard-based Audit Trail
Configuration
Audit Trail Reporting
Digital Signatures
Document
Management
Version Control
Basic and
Advanced Search
Unified Metadata
Models
Bundled OCR/
Full-text Indexing
Governance,
Risk &
Compliance
Laserfiche ECM Methodology
Document
Management
Version Control
Basic and
Advanced Search
Unified Metadata
Models
Bundled OCR/
Full-text Indexing
Electronic
Forms
Form Builder
BPMN Routing
Task Management
Mobile Approval
Reports
Business
Process Management
Pre-built Workflows
Custom Notifications
and Triggers
C# and VB.NET
Script Editor
Search and
Reporting Interface
Document
Distribution
Web Public
Portal
Portable
Archives
Desktop, Web
and Mobile Clients
Laserfiche
Content Server
Workflow
Engine
Enterprise
Search
Laserfiche
Servers
Document
Imaging Records
Management
Document
Management
Multi-Channel
Capture
Mobile Capture
MFP and Network
Capture and Import
Photo Capture
Electronic Import
e-Form Capture
High-Volume Import
Governance,
Risk and Compliance
DoD 5015.2-certified
Records Management
VERS-compliant Electronic
Records Management
Wizard-based Audit Trail
Configuration
Audit Trail Reporting
Digital Signatures
Document
Management
Version Control
Basic and
Advanced Search
Unified Metadata
Models
Bundled OCR/
Full-text Indexing
Laserfiche ECM Methodology
Governance, Risk
and Compliance
DoD 5015.2-certified
Records Management
VERS-compliant
Electronic Records
Management
Wizard-based Audit
Trail Configuration
Audit Trail Reporting
Digital Signatures
Document
Distribution
Web Public
Portal
Portable
Archives
Desktop, Web
and Mobile Clients
Multi-Channel
Capture
Mobile Capture
MFP and Network
Capture and Import
Photo Capture
Electronic Import
e-Form Capture
High-Volume Import
CRM System
Financial Planning System
Email Server
Audit Files
Web Browser
Smartphones
Tablets
Network Folders
Business
Applications
Databases
Web Users
Mobile Users
Business Applications
Databases
Advisors
Customers
Custodians
Broker-Dealers
Web Browser
CD, DVD, Portable
Hardrive, USB Drive
Email Applications
Electronic
Forms
Form Builder
BPMN Routing
Task Management
Mobile Approval
Reports
Business
Process Management
Pre-built Workflows
Custom Notifications
and Triggers
C# and VB.NET
Script Editor
Search and
Reporting Interface
Laserfiche
Content Server
Workflow
Engine
Enterprise
Search
Laserfiche
Servers
Document
Imaging Records
Management
Document
Management
Governance,
Risk and Compliance
DoD 5015.2-certified
Records Management
VERS-compliant Electronic
Records Management
Wizard-based Audit Trail
Configuration
Audit Trail Reporting
Digital Signatures
Document
Management
Version Control
Basic and
Advanced Search
Unified Metadata
Models
Bundled OCR/
Full-text Indexing
Laserfiche ECM Methodology
Laserfiche | T3 Advisor Conference
$175 Million AUM and 115 Clients
Denver-1 Principal and 2 Part Time Operations
St. Louis-Chief Investment Officer
14
Semper Augustus Firm Overview
Laserfiche | T3 Advisor Conference
“We had an overwhelming, enormous monster pile of stuff
that we needed to transform into efficient processes, core
knowledge and firm value.”
15
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Think hard once. Repeat.
Firm Objective
16
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System Objectives
17
Efficient
Simplicity
Effective
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8 Hours of Creative Thinking
= 1 Hour Saved
∞
Investment
18
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Process Redesign
19
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Recurring Action Processes
Daily, Monthly, Quarterly, Annually
Ad Hoc Processes
CRM
On-Demand
Applying Objectives to Processes
20
Laserfiche
Content Server
Workflow
Engine
Enterprise
Search
Laserfiche
Servers
Document
Imaging Records
Management
Document
Management
Multi-Channel
Capture
Document
Distribution
Business
Process
Management
Electronic
Forms
Governance,
Risk &
Compliance
Document
Management
Process Mapping through Laserfiche ECM Methodology
Laserfiche | T3 Advisor Conference
Capturing Disparate Information
22
Laserfiche | T3 Advisor Conference
Mail PortfolioCenter Batch Reports Internal Database Reports Statement Downloads Emailed PDF’s
Disparate Information Sources
23
Laserfiche
Content Server
Workflow
Engine
Enterprise
Search
Laserfiche
Servers
Document
Imaging Records
Management
Document
Management
Multi-Channel
Capture
Mobile Capture
MFP and Network
Capture and Import
Photo Capture
Electronic Import
e-Form Capture
High-Volume Import
Document
Distribution
Business
Process
Management
Governance,
Risk &
Compliance
Document
Management
Digital Information Capture
Multi-Channel
Capture
Mobile Capture
MFP and Network
Capture and Import
Photo Capture
Electronic Import
e-Form Capture
High-Volume Import
Electronic
Forms
Form Builder
BPMN Routing
Task Management
Mobile Approval
Reports
Electronic
Forms
Form Builder
BPMN Routing
Task Management
Mobile Approval
Reports
Laserfiche | T3 Advisor Conference
Ad Hoc Tasks
More Training Due to More Subjectivity
Document Type Drives Metadata
Scan
25
Laserfiche | T3 Advisor Conference
Download Documents
Recurring Actions
100+ Import Agent Jobs
Laserfiche Import Agent
26
Laserfiche | T3 Advisor Conference
Laserfiche Import Agent + Laserfiche Workflow
27
File Name Parsing
OCR/Text Stream
File Location
Workflow Database Lookup
Foundational Metadata
Specific Metadata
Laserfiche | T3 Advisor Conference
Dynamic Checklists
Embed Training with Screen Shots
Attach External Reports
Laserfiche Forms
28
Laserfiche | T3 Advisor Conference
Laserfiche Forms
29
Capture
(Attach Support Here)
Process
(Workflow Metadata)
Do the Work
(Checklist and Training)
Audit
(Complete Doc Set)
Laserfiche Forms
Laserfiche | T3 Advisor Conference
Sample Forms Checklist
30
Laserfiche | T3 Advisor Conference
Automating Key Processes
31
Laserfiche | T3 Advisor Conference
Scalable Business
32
Improve
Delegate
Standardize
Laserfiche | T3 Advisor Conference
Better Planning
More Thinking
Make a Decision
Laserfiche Workflow Design
Laserfiche | T3 Advisor Conference
Approval and Routing
Metadata Assignment
Real-Time Notification
Primary Laserfiche Workflow Sessions
34
Laserfiche | T3 Advisor Conference
Scheduled Alerts
Action Required
Just-in-Time Instruction
Mobile and Accessible to Workforce
Real-Time Notification
35
Electronic
Forms
Form Builder
BPMN Routing
Task Management
Mobile Approval
Reports
Business
Process Management
Pre-built Workflows
Custom Notifications
and Triggers
C# and VB.NET
Script Editor
Search and
Reporting Interface
Document
Distribution
Web Public
Portal
Portable
Archives
Desktop, Web
and Mobile Clients
Laserfiche
Content Server
Workflow
Engine
Enterprise
Search
Laserfiche
Servers
Document
Imaging Records
Management
Document
Management
Multi-Channel
Capture
Mobile Capture
MFP and Network
Capture and Import
Photo Capture
Electronic Import
e-Form Capture
High-Volume Import
Governance,
Risk and Compliance
DoD 5015.2-certified
Records Management
VERS-compliant Electronic
Records Management
Wizard-based Audit Trail
Configuration
Audit Trail Reporting
Digital Signatures
Document
Management
Version Control
Basic and
Advanced Search
Unified Metadata
Models
Bundled OCR/
Full-text Indexing
Governance,
Risk &
Compliance
Document
Management
Laserfiche ECM Methodology
Document
Distribution
Web Public
Portal
Portable
Archives
Desktop, Web
and Mobile Clients
Laserfiche | T3 Advisor Conference
Obtaining Business Intelligence
37
Laserfiche | T3 Advisor Conference
SEC Exam Request List
Compliance Policy and Procedures
Business Intelligence: Compliance
38
Electronic
Forms
Form Builder
BPMN Routing
Task Management
Mobile Approval
Reports
Business
Process Management
Pre-built Workflows
Custom Notifications
and Triggers
C# and VB.NET
Script Editor
Search and
Reporting Interface
Document
Distribution
Web Public
Portal
Portable
Archives
Desktop, Web
and Mobile Clients
Laserfiche
Content Server
Workflow
Engine
Enterprise
Search
Laserfiche
Servers
Document
Imaging Records
Management
Document
Management
Multi-Channel
Capture
Mobile Capture
MFP and Network
Capture and Import
Photo Capture
Electronic Import
e-Form Capture
High-Volume Import
Governance,
Risk and Compliance
DoD 5015.2-certified
Records Management
VERS-compliant Electronic
Records Management
Wizard-based Audit Trail
Configuration
Audit Trail Reporting
Digital Signatures
Laserfiche ECM Methodology
Governance, Risk
and Compliance
DoD 5015.2-certified
Records Management
VERS-compliant
Electronic Records
Management
Wizard-based Audit
Trail Configuration
Audit Trail Reporting
Digital Signatures
Document
Management
Version Control
Basic and
Advanced Search
Unified Metadata
Models
Bundled OCR/
Full-text Indexing
Document
Management
Version Control
Basic and
Advanced Search
Unified Metadata
Models
Bundled OCR/
Full-text Indexing
Laserfiche | T3 Advisor Conference
Use Laserfiche Forms as SQL Input Tool
Use Laserfiche Workflow to Update SQL Tables from Outside DBO and Access Tables
Comprehensive SQL = Powerful Database Lookups
Laserfiche Workflow + Forms: SQL Power
40
Laserfiche | T3 Advisor Conference
Do all billed accounts have bills?
Do all taxable accounts have 1099’s?
Do all open accounts have a statement for this month? For all periods?
Do all accounts have an account application?
Potential Audits?
41
Laserfiche | T3 Advisor Conference
Compliance
Staffing Flexibility
Owner Flexibility
Firm Capital Value
Value
42
Laserfiche
Content Server
Workflow
Engine
Enterprise
Search
Laserfiche
Servers
Document
Imaging Records
Management
Document
Management
Multi-Channel
Capture
Document
Distribution
Business
Process
Management
Electronic
Forms
Governance,
Risk &
Compliance
Document
Management
