Advisor Assistant Module - Creating a Transaction

When an Assistant creates a transaction, they would follow all the same steps as an Advisor and the first step is to select + New Investment within an investor profile. The Selling Advisor for the transaction will default to the investor's current Owning Advisor.

Afterward, within the Investment Details stage of the transaction creation process, you will be able to review the concentration of the investor, select an offering and enter the value of the investment.

The Account Other stage will allow you to select the account of the investor, add any referrals, set the investor DRIP % and more.

The Investor Exemptions stage will allow you to add the exemption that the investor is qualifying for.

Lastly, the Summary stage gives you the opportunity to review all of the information and make any necessary changes. Once you are ready to create the transaction, select Save Order.

Now that the transaction has been created you will be able to download the necessary documents from the Offering Required Documents and EMD Document table. Once they are filled out and signed they can be uploaded to the Transaction Documents table for your compliance team to review.

Creating an Assistant

Creating a New Transaction - Advisor