Key results
Improved client trust and eliminated manual reconciliation with automated, real-time portfolio reports.
Reduced review preparation time and enhanced revenue tracking with advisor-level performance data.
Enabled continuous AUM tracking and full data lineage to meet SEC and FINRA audit standards.
Accelerated regulatory response time from 5 days to 12 hours through centralized, compliant data access.
About the Client
A boutique wealth management and financial advisory firm managing high-net-worth (HNW) portfolios across equities, fixed income, and alternative assets. The firm required a modern data platform to enhance portfolio visibility, advisor performance monitoring, and regulatory compliance.
Key Challenges
Disconnected data sources from custodians, CRM, portfolio accounting, and trade systems
Manual Excel-based client performance reports prone to errors
Limited visibility into firm-wide assets under management (AUM), advisor productivity, and fee leakage
Increasing audit and compliance requirements (SEC, FINRA)
Our Approach
- Designed and deployed a secure, scalable cloud data warehouse using Azure Synapse
- Automated data integration from custodians, CRM, and transaction platforms via Azure Data Factory and Python
- Created real-time, self-serve Power BI dashboards for executive, advisor, and compliance teams
Implemented Solution
Cloud Infrastructure & Data Integration
- Deployed Azure Synapse Analytics with secure, segregated compute for advisory, operations, and compliance
- Used Azure Data Factory and Python scripts to extract data from Orion, Salesforce, and Schwab APIs
- Built reusable pipelines for holdings, transactions, benchmarks, and advisor metadata
Reporting & Dashboard Layer (Power BI)
- Client Performance Dashboards – Portfolio value, return vs. benchmark, inflow/outflow, and holdings breakdown
- Firm-Wide AUM Tracking – Daily refresh with advisor-wise and segment-wise drilldowns
- Advisor Scorecards – Productivity, client growth, fee realization, churn
- Compliance Reports – Regulatory reporting, flagged transactions, disclosure monitoring
Technologies Used
