Unhouseholded Accounts

Follow these steps when you see the Unhouseholded Accounts alerts on your Smart RIA dashboard.

Role:  CCO, Advisor

When custodial account data comes in to SmartRIA, the account typically needs to be associated with a client.   This process details how to do that, and only has to be done once per account.  Advisors will see their own accounts and the compliance team can see everyone's accounts.

Unhouseholded Accounts Alert Tile

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In this example we have 21 unhouseholded accounts.  Click the blue hyperlink on the Unhouseholded Accounts tile.

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Clicking the blue hyperlink will take you to the accounts screen.  Use the Filter Accounts field to filter for the specific account.

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From this view you can

  1. Create a new client with selected accounts
  2. Add to household
  3. Add to advisors personal accounts

Create a New client with selected accounts

Using your cursor, click the name of the Household to add a new client.

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The user is prompted to create a new client for the selected account.  Enter in new client information and then click the Submit button.

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Select Clients from the navigation toolbar and search for the new client.  Notice the # of Accounts changes to 1.

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Add to household

Go back to your dashboard and go into unhouseholded accounts. 

Select multiple households by checking the boxes to the left of the account.  Notice the “+” icon at the top of the list displays.  Click the “+” icon to add multiple accounts to a client.

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Select the client in the drop-down list to assign the accounts to and click the Submit button.

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Select Clients from the navigation toolbar and search for the new client.  Notice the # of Accounts changes to 4.

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Add to Advisors personal accounts

Go back to your dashboard and go into unhouseholded accounts. 

Click the person icon under the Assign to Advisor column.

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A message will display to the user asking if you want to add the account to the users personal accounts.  Click the OK button.

Go to your navigation toolbar and select Trade Monitoring.  Then select My Personal Accounts from the drop-down list to see all the personal accounts for the user. 

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