Financial Advisory SaaS Platform

Client Overview

Wealth Horizon Partners is a growing financial advisory firm with 120+ advisors managing over $4 billion in client assets. The firm services approximately 3,500 high-net-worth individuals and families across the United States, offering comprehensive wealth management services including investment advice, retirement planning, tax optimization, and estate planning. Their vision was to scale their personalized advisory approach through technology while maintaining the high-touch client relationships that had fueled their growth.

Challenge

Wealth Horizon faced several significant challenges that were limiting their growth potential and operational efficiency:

• Fragmented technology ecosystem with 8+ different systems for portfolio management, CRM, financial planning, and reporting
• Time-consuming manual processes for creating client reports and investment proposals
• Limited ability to customize investment strategies at scale for individual client needs
• Inconsistent client experience across different advisors and service teams
• Compliance risks due to manual tracking of regulatory requirements and client restrictions
• Difficult onboarding for new advisors joining the firm, with extensive training required across multiple systems
• Growing cybersecurity concerns with increasing client data spread across various platforms

Solution

ArkOne Softwares developed a comprehensive, secure SaaS platform tailored to Wealth Horizon's unique advisory approach and business model:

• Unified Advisor Workstation:
  • 360-degree client view integrating financial data, documents, planning scenarios, and communication history
  • Customizable dashboard with key client metrics, upcoming meetings, and actionable alerts
  • Automated workflow processes for common advisory tasks and compliance requirements
• Advanced Portfolio Management:
  • Model-based portfolio construction with flexible customization for individual client needs
  • Automated rebalancing with tax optimization and smart trade execution
  • Performance reporting with customizable benchmarking and attribution analysis
  • Risk analytics to assess portfolio vulnerabilities across various market scenarios
• Client Portal and Mobile App:
  • Secure access to portfolio information, financial plans, and important documents
  • Interactive goal tracking and financial planning tools
  • Secure messaging and document sharing with advisory team
  • Appointment scheduling and video conferencing integration
• Business Intelligence:
  • Firm-wide analytics on client demographics, asset allocation, and revenue metrics
  • Advisor productivity and performance tracking
  • Client engagement monitoring and retention risk scoring

Implementation Highlights

The development and deployment of this comprehensive platform involved several technical innovations:

• Technology Stack: Next.js frontend, TypeScript, Ruby on Rails API backend, PostgreSQL database, AWS infrastructure
• Data Integration:
  • Custom API connectors for major custodians and financial data providers
  • ETL pipelines for historical data migration from legacy systems
  • Real-time market data integration for portfolio analytics
• Security Architecture:
  • SOC 2 Type II compliant infrastructure design
  • End-to-end encryption for sensitive financial data
  • Multi-factor authentication and fine-grained role-based access controls
  • Comprehensive audit logging and anomaly detection
• Deployment Strategy:
  • Phased migration approach with parallel systems during transition
  • Pilot program with 15 advisors before full firm rollout
  • Dedicated training program with role-specific learning tracks

Results

Within 12 months of full implementation, Wealth Horizon Partners experienced transformative results:

• 35% reduction in time spent on administrative tasks by advisors
• 42% increase in client assets managed per advisor
• 28% improvement in client satisfaction scores
• 67% reduction in report generation time
• 22% growth in new client acquisition
• 54% decrease in technology costs by consolidating multiple systems
• 98% adoption rate among advisors within 6 months
• Zero security incidents since implementation

"The SaaS platform ArkOne built for us has been transformative for our business. It's given our advisors the tools they need to deliver sophisticated wealth management at scale without sacrificing the personalized approach our clients expect. The efficiency gains have been remarkable—our advisors can now manage more client relationships with greater depth of service. Most importantly, the technology has become a key differentiator in attracting both clients and top advisory talent to our firm."

— Elizabeth Warren, CEO, Wealth Horizon Partners

Visual/Media Suggestions

The following visuals would effectively illustrate the solution:

• Interactive demonstration of the advisor dashboard
• Side-by-side comparison of old vs. new report creation process
• Mobile app interface showing client portfolio view
• System architecture diagram highlighting security features
• Advisor productivity metrics before and after implementation
• Video testimonial from advisors using the platform