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Advice infrastructure

Give advice on
held-away assets.

Client

“What should I dowith my 401(k)?”

Advisor

“Here’s your tailoredrecommendation.”

Every step recorded — provably compliant

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HELD AWAYUnadvised

What advisors and clients see today.

Clients are already asking. Answers scatter across inboxes, texts and hallway calls — unrecorded, unrepeatable, unbillable. Advisors can’t stand behind it, scale it, or get paid for it. And clients end up advising themselves.

Held-away assets

Clients have held-away assets.They’re asking for guidance.Advising on them wasthe problem.

Often it’s the largest account a client has. It’s held at the recordkeeper, not your custodian — so it goes unserved, and the client ends up advising themselves.

401(k)

Your client at a company

403(b)

Your client at a nonprofit

457

Your client in government

TSP

Your client in federal service

HSA

Your client with health savings

Deferred comp

Your executive client

529

Your client saving for college

Proof of advice

This is whatcompliance has never had... until now.

Your advisor advises. Your client executes. Your compliance sees every step, timestamped as it happens — quarter after quarter. Nothing editable, nothing missing.

UnadvisedAdvisedPROFILERECOMMENDATIONCLIENT DECIDESClient 1401(k)Client 2403(b)
The compliance logClient 1 — 401(k)Client 2 — 403(b)
OccurredActionActor
03-28 08:12invite.acceptedClient 1
04-01 14:03menu.uploadedClient 1
04-02 09:16profile.completedClient 1
04-03 11:47recommendation.issuedAdvisor 1
04-03 14:02compliance.reviewedCCO
04-04 16:22client.acceptedClient 1
04-05 08:31execution.attestedClient 1
07-08 10:15recommendation.issuedAdvisor 1
07-09 13:40client.acceptedClient 1
07-09 13:52execution.attestedClient 1
10-01 07:00checkin.unansweredClient 1
04-09 09:44invite.acceptedClient 2
04-09 10:02menu.uploadedClient 2
04-09 10:05profile.completedClient 2
04-10 09:31recommendation.issuedAdvisor 1
04-10 11:18compliance.reviewedCCO
04-11 15:47client.acceptedClient 2
04-12 08:12execution.attestedClient 2
07-12 09:05recommendation.issuedAdvisor 1
07-13 11:22client.acceptedClient 2
07-13 11:31execution.attestedClient 2
10-01 07:00checkin.answeredClient 2

Advolo is the platform underneath. It doesn’t advise, doesn’t trade, and has no opinion on any fund — and our own staff portal has no path into your firm’s records.

The network

The RIA plugs into Advolo.

Compliance benefits · Advisors benefit · Clients benefit

One seamless integration — due diligence, onboarding, the bank link verified — and the network runs. No upfront cost, and a new line of business for every advisor underneath.

ADVISOR 4ADVISOR 5ADVISOR 1ADVISOR 2ADVISOR 3401(k)529401(k)403(b)457TSP401(k)HSA403(b)401(k)529Deferred comp401(k)403(b)401(k)457401(k)HSA401(k)Deferred compTHE RIA · COMPLIANCEADVOLO

The RIA

Revenue on assets you already see

Supervision and documentation built in — a compliance log for every client, every quarter — and a new stream of advisory revenue, straight from client to firm.

The advisor

Held-away advice, finally a business

Allocations that scale across the book, tuned to each client’s risk profile — their strategy, their judgment — and paid for the advice. A revenue stream that never existed.

The client

Their biggest account, finally advised

Great advice at last on what may be their largest account — delivered on a system built for the modern age, with a fee structure to match: flat, simple, and advisor-set.

This is how it was.This is how it is now.HELD AWAYUnadvisedADVOLOHELD AWAYUnadvisedAdvised

The advice was always there.
The rails weren’t.
Now they are.

The advisor sees

What they built, and that it landed.

The client sees

Their own account, finally advised.

The CCO sees

Every step that got it there.

Every client who asks gets an answer.

Bring your firm on

No upfront cost to the firm.