Access: https://corepln.account.box.com

Generally, each of us will have access to three primary folders:

1. Private Folder

2. Shared Inbox

3. Core Shared Drive

Private Folder:

Your private folder will be set up under your name and be shared only with the Chief Compliance Officer. Files in this folder will only be accessible by you and the CCO.

Within your private folder, you'll generally have four primary sub folders as shown below:

1. Clients

The Client Folder will also have sub-folders:

Each client household will have its own folder: example ... [Smith, John and Jane]

Within each household sub-folder, we should at least have the following:

• The signed Advisory Agreement

• Any account statements they had sent you during the account opening phase

• The Family Intake PDF and the Behavioral Questionnaire PDF

• Any scans or copies that contain personal client data

• Any and all PDFs or reports presented to your client during meetings or reviews

• Yep, everything relating to the household should be in here, lol!

2. Inbox

Your Inbox will be where all new incoming files will flow.

For example, whenever we might get a client file in a firm level folder, we’ll just drop it into our Inbox so that you know it’s there and can decide the best place to file it from there.

And one of our favorite features, you can create a File Request link within your Inbox for client uploads to flow, just email your client the link, and docs will hit your Inbox.

Periodically clear the Inbox by properly naming and filing items.

3. Operations

This is where we will store any and all HR related documents such as 1099s, agreements, Fee Schedules, and compliance forms: anything between you and core.

4. Marketing & Branding

All public correspondence, videos, podcast episodes, newsletters, flyers, or other marketing that is general in nature and not specific to any one client or household must be archived here. Just drop in the PDFs, mp4s, whatever you published.

Shared Inbox:

The Shared Inbox is a special use folder which should be emptied on a regular basis. Think of this as our Mailroom.

Here’s how it works:

Most of the time if you need files from a client, you’ll be able to generate a File Request Link from your own Inbox, that’s ideal. But imagine you’re away from the office, vacation, etc, and don’t have access to a computer. No problem. Go ahead and direct your client to our Website, click Access, then Secure Upload.

Any documents that come through this Vault will end up in this Shared Inbox. When you have the chance, hop in and move the files to your own Folder.

Forms Submission Inbox:

When a client completes any of our Intake Forms, you know [these] will end up as autogenerated PDFs and populate right here. Cool thing is that each submission is automatically named as the form title plus the client last name you can identify what you’re looking for and move the files to your own Folder. You might also see a subfolder called Forms Submission Archive. If a submission has been sitting there for a few weeks or so, it might end up here. Take a look to see if any of your forms are in here. Nothing gets deleted.

Core Shared Drive:

The Core Shared Drive is always under development. This is where we will build shared resources, ideas, example client materials, etc. In general, we don’t keep a whole lot here because we’re not a big fan of ‘static documents’ that end up outdated. Generally speaking, we will lean toward more fluid and dynamic type templates in Canva or Notion. Much of what we do is paperless.

However.

You will find some PDF and Word versions of some of our more common client forms and agreements just in case you have a client that prefers a paper version instead of digital.

Let’s build this together.