Advisor Compliance Features Overview

iVaultx is built to reduce compliance friction for advisors by making client-document workflows more trackable, more consistent, and easier to evidence. It gives you a structured, time-stamped record of the work you did, the documents you relied on, and the steps taken to close client gaps.

Why this matters (advisor perspective)

• Defensible client work: When questions come up later, you can show what happened and when.
• Reduced “he said / she said” risk: Better history and consistency across clients reduces ambiguity.
• Audit readiness: You can quickly retrieve supporting documentation and activity history when asked.
• Standardization: A consistent structure makes it easier to supervise, review, and spot gaps.

1) Activity tracking

iVaultx maintains activity signals around vault actions so you can establish a basic timeline of “what was done” and “by whom.”

• Log of key actions such as document uploads, updates, and access events (where enabled).
• Timestamped entries tied to specific users to support traceability.
• Change visibility for important planning records (for example: wills, trusts, insurance policies, and other critical documents).

2) Client communication & documentation

iVaultx is designed to keep the supporting records for client planning work in one place, reducing scattered emails, missing attachments, and “where did we put that?” moments.

• Centralized storage for executed documents and supporting materials.
• Gap visibility so you can document what was missing and what was addressed during planning.
• Multi-generational clarity by organizing records and recipient-related planning in a structured environment.

3) Firm-level standards

Consistency is a compliance advantage. iVaultX supports firms that want predictable client organization and repeatable advisor workflows.

• Standardized vault structure to reduce advisor-to-advisor variation.
• Repeatable onboarding workflow for client readiness, including progress signals and structured review.
• Optional branding and messaging controls to keep client communication consistent at the firm level.

Recommended compliance workflow (practical)

1. Start with minimum viable completeness: get core estate/insurance/ID/property documents into the vault first.
2. Document what’s missing: record gaps clearly before you begin recommendations.
3. Update as decisions occur: when a client replaces a document or changes a plan, upload the new version and retire the old version.
4. Use periodic review: confirm recipients and delivery settings remain aligned after major life events.

Common compliance pitfalls (and how iVaultX helps)

• Missing supporting documents: centralized storage reduces reliance on email threads and desktops.
• Unclear timeline: activity signals support “what happened when” reconstruction.
• Inconsistent client organization: standard structure reduces supervision overhead.
• Outdated documents lingering: version replacement and review cadence reduce stale information risk.

iVaultX supports your firm’s compliance program but does not replace it. Your firm remains responsible for determining when documents in the vault count as official books and records, how they should be archived, and what policies apply to supervision, retention, and client communication.