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SkillsMP has collected 91 skills from JoelLewis/finance_skills. Open a skill to review its source and details.
Showing 40 of 91 collected skills.
Design and implement end-to-end client onboarding workflows from prospect intake through funded account, covering KYC verification, document collection, e-signature, and custodian submission. Use when the user asks about building a digital onboarding flow,…
Orchestrate the advisor workflow for assembling and delivering a comprehensive financial plan — data gathering, cash flow analysis, retirement modeling, Monte Carlo analysis, Roth conversion and withdrawal sequencing, Social Security claiming strategy,…
Process account maintenance requests across the account lifecycle. Use when changing a client address or contact info with identity verification, updating beneficiary designations after marriage, divorce, birth, or death, re-registering or re-titling an…
Ensure investment advertising and marketing materials comply with SEC Marketing Rule and FINRA Rule 2210. Use when the user asks about performance advertising, showing backtested or hypothetical returns, net vs gross performance presentation, client…
Determine when a product, platform, or communication crosses the regulatory line from education into investment advice requiring investment adviser registration. Use when the user asks about the definition of investment advice under Advisers Act Section…
Guide BSA/AML compliance program design, ongoing transaction monitoring, and FinCEN reporting for broker-dealers, banks, and investment advisers. Use when the user asks about suspicious activity reports, currency transaction reports, OFAC screening,…
Guide which client disclosure documents must exist, what each must contain, and when and how they must be delivered to clients of investment advisers and broker-dealers. Use when the user asks about Form ADV Part 2A or 2B content, Form CRS content and…
Assess investment suitability obligations under FINRA Rules 2111 and 2090 across all three suitability prongs. Use when the user asks about reasonable-basis, customer-specific, or quantitative suitability, product-specific concerns for complex products,…
Analyze private placement and exempt offering compliance under Regulation D, the Investment Company Act fund exclusions, and FINRA private placement rules. Owns the accredited investor definition (Rule 501(a)), the '506(b) vs 506(c)' distinction, 'general…
Analyze the broker-dealer standard of conduct under SEC Regulation Best Interest's four obligations: Disclosure, Care, Conflict of Interest, and Compliance. Owns what triggers a 'recommendation' under Reg BI and the canonical comparison of Reg BI vs FINRA…
Apply statistical methods to financial data including descriptive statistics, covariance estimation, regression, hypothesis testing, and resampling. Use when the user asks about return distributions, correlation between assets, building a covariance matrix,…
Analyze alternative investments including hedge funds, private equity, and venture capital. Use when the user asks about hedge fund strategies (long/short, macro, event-driven), PE or VC performance metrics (IRR, TVPI, DPI), fee structures ('2-and-20', carry,…
Determine how to distribute capital across asset classes using strategic and tactical allocation frameworks. Use when the user asks about portfolio allocation, mean-variance optimization, Black-Litterman, risk parity, glide paths, or target-date strategies.…
Provide frameworks for managing and paying off personal debt effectively. Use when the user asks about debt payoff strategies (avalanche vs snowball), refinancing decisions, debt consolidation, debt-to-income ratios, or the opportunity cost of paying off debt…
Build diversified portfolios using correlation analysis, efficient frontier construction, and factor-based diversification. Use when the user asks about portfolio variance, correlation effects, the efficient frontier, minimum variance portfolios,…
Size and structure an emergency fund based on individual circumstances, income stability, and expense profile. Use when the user asks about emergency fund sizing, how many months of expenses to save, where to keep emergency savings, or tiered fund structures.…
Analyze equity securities, factor models, and equity portfolio construction. Use when the user asks about stocks, equity valuation ratios, index construction methods, or style analysis. Also trigger when users mention 'P/E ratio', 'growth vs value', 'market…
Guides equity compensation planning for wealth management clients: RSU vesting and the supplemental-withholding gap, NSO and ISO exercise taxation, AMT on ISO spreads and the AMT credit, qualifying vs disqualifying dispositions, 83(b) elections for restricted…
Estate and gifting architecture for wealth management: the unified estate/gift/GST framework, lifetime exemption vs annual exclusion, basis step-up vs carryover, trust taxonomy, and beneficiary planning. Use when the user asks about the 'estate tax…
Apply factor models to portfolio construction and fund evaluation, from CAPM through the Fama-French 3- and 5-factor models plus momentum. Use when the user asks about 'Fama-French', 'value factor', 'smart beta', 'factor tilt', 'momentum exposure', or the…
Analyze financial statements for investment decisions: derive EBITDA and free cash flow (FCFF/FCFE) from the income statement and cash flow statement, compute ROIC, margins, and DuPont ROE decomposition, and assess quality of earnings via accruals and working…
Compare and select investment vehicles including mutual funds, ETFs, index funds, and separately managed accounts. Use when the user asks about ETF vs mutual fund, expense ratios, fund tax efficiency, ETF creation/redemption, tracking error, or share class…
Quantify realized risk from historical data using volatility estimators, drawdown analysis, and downside risk metrics. Use when the user asks about historical volatility, maximum drawdown, drawdown duration, historical VaR, downside deviation, semi-variance,…
Integrate insurance into a financial plan: decide what risks to retain vs transfer, size life insurance with needs-based and human-life-value analysis, and evaluate disability, long-term care, annuity, and liability coverage. Use when the user asks 'how much…
Construct comprehensive Investment Policy Statements governing return objectives, risk tolerance, and portfolio constraints. Use when the user asks about building an IPS, setting return objectives, assessing risk tolerance, defining investment constraints, or…
Plan and manage cash flow to ensure adequate liquidity while minimizing opportunity cost of excess cash. Use when the user asks about cash flow forecasting, CD or bond laddering, liquidity tiers, income smoothing for variable earners, or sweep strategies.…
Evaluate investment performance on a risk-adjusted basis using industry-standard ratios and capture analysis. Use when the user asks about Sharpe ratio, Sortino ratio, Information Ratio, Treynor ratio, Calmar ratio, Omega ratio, or upside/downside capture.…
Turn a retirement portfolio into sustainable lifetime income: sequence-of-returns risk, the 4% rule and its assumptions, Guyton-Klinger-style guardrails, RMD calculation from the Uniform Lifetime Table, Social Security claiming math (early reduction, delayed…
Plan and track savings for specific financial goals including retirement, education, and home purchase. Use when the user asks about required savings rates, 529 plans, retirement accumulation targets, down payment planning, or goal prioritization. Also…
Maximizes after-tax returns through strategic asset location, gain/loss management, and withdrawal sequencing. Use when the user asks about asset location, Roth conversions, tax-efficient withdrawals, tax lot selection, or charitable giving with appreciated…
Execute a complete tax-loss harvesting workflow from candidate identification through post-harvest monitoring. Use when the user asks about finding TLH candidates, gain/loss budgeting, replacement security selection, wash-sale compliance, or harvest execution…
Design, build, and optimize dashboards for RIA practice management with AUM tracking, revenue analytics, and KPI frameworks. Use when the user asks about tracking firm-level metrics, monitoring advisor productivity, measuring organic growth rate, analyzing…
Design, generate, and deliver client performance reports across all channels, covering quarterly reports, tax reporting, portal integration, and compliance review. Use when the user asks about building or redesigning report templates, choosing what to include…
Prepare advisors for client review meetings by assembling context packages, performance summaries, drift analysis, talking points, and meeting agendas. Use when the user asks about preparing for a client review, building a pre-meeting checklist, generating…
Design and optimize CRM systems and client lifecycle workflows for advisory firms, covering segmentation, household management, service tiers, and retention analytics. Use when the user asks about client segmentation models, building household structures,…
Build and manage advisory fee billing operations from fee schedule design through calculation, collection, revenue recognition, and compliance disclosure. Use when the user asks about tiered or breakpoint fee schedules, billing cycle configuration, AUM…
Integrate financial planning engines with the advisor technology stack — data flows between planning tools, CRM, PMS, custodians, and aggregation platforms; capital market assumption (CMA) governance and synchronization; plan-to-IPS-to-model linkage; and…
Design and implement next-best-action engines that surface proactive, prioritized recommendations to advisors based on portfolio, life, market, and compliance events. Use when the user asks about building event-driven advisor alerts, designing trigger logic…
Manage the advisor trade lifecycle from order entry through settlement, covering block trading, allocation, pre-trade compliance, custodian routing, and error correction. Use when the user asks about designing an OMS for an RIA, executing model portfolio…
Select, configure, and operate portfolio management systems for advisory firms, covering model portfolios, UMA/sleeve management, drift monitoring, rebalancing, and custodian data feeds. Use when the user asks about choosing a PMS platform, building or…