Small portfolio manager document workflow

Answers are general operational information only — not legal, tax, regulatory, clinical, privacy, immigration, or professional advice. Requirements vary by matter, client, and regulator.

Frequently asked questions

Is Hivi-X for Big-5 dealer reps?

No. Dealer reps who must use dealer compliance systems are not the primary fit. Hivi-X targets independent PM and planning boutiques.

How does this compare to enterprise wealth platforms?

Enterprise platforms bundle OMS, reporting, and supervision. Hivi-X is a focused document-collection layer for boutiques that already have a CRM and custodian.

What is the honest v1 client experience?

Clients can use a secure guest link (no account needed; email OTP verification) or log in to my-id.ca and upload per checklist item.

More Financial Planning guides

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• Better client document collection for financial advisorsA practical checklist-first approach for Ontario advisors collecting KYC, tax, insurance, and estate documents before planning or custodian onboarding.
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• Why a CRM alone does not fix the document chaseWealthbox, Redtail, and Salesforce handle contacts and tasks — but pre-planning client intake often still lives in email. Hivi-X fills that gap without replacing your CRM.
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• Trusted Contact Person documentationCollecting Trusted Contact Person forms and related KYC documentation for Ontario advisory client files.
• Entity and trust beneficial ownership documentsCollecting formation documents and beneficial ownership registers for corporate and trust clients — checklist intake without AML database screening.
• Referral arrangement documentationCollecting referral arrangement disclosures and supporting records for Ontario advisory client files — OSC exam focus area.
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• Voice notes for KYC update documentationRecording discovery and review call notes with self-hosted AI summaries tied to checklist lines — supporting meaningful KYC interaction evidence.
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• Secure client portal for advisor document uploadsHow Ontario advisors collect KYC and planning documents through the encrypted my-id.ca client portal instead of email.
• Principal advisor client file oversightHow managing advisors review associate intake quality before planning and exams — standardized checklists and exportable packages.