INTERNAL INVESTEMENT
& WORKFORCE MANAGEMENT PLATFORM
for Wealth Management Firms

Optimizing Workforce Integration, Aligning Business Goals with Investment Strategies, and Enhancing Real-Time Operational Efficiency

USER & MARKET RESEARCH

The wealth management industry, particularly for medium-cap businesses, requires an integrated solution to manage complex investment strategies, portfolio tracking, and business growth while ensuring that employees and advisors, who are also investors, have full visibility into company performance. We gathered insights through stakeholder workshops, financial data analysis, and interviews with business development leaders to identify key user needs and challenges.

“I need a way to align our internal investment performance with the growth of the business — especially since our advisors and employees are equity holders. Right now, there’s no clear visibility into how our human capital is driving the financial health of the firm.”

Wealth Management CEO

WEALTH MANAGEMENT CEO

“I want to understand how my equity in the company correlates with my performance as an advisor. It’s hard to see the big picture.”

Wealth Management Advisor

“Tracking my internal equity and how it grows alongside my work in business development isn’t easy with current systems.”

Wealth Management Advisor

WEALTH MANAGEMENT TEAM

“We need better systems to track both people and capital, especially with the complexities of internal equity and multi-layered investments.”

Operations Team Member

“Our current toolset doesn’t allow us to fully integrate HR, financials, and investment tracking.

Operations Team Member

OPERATIONS TEAM

WHAT WE OBSERVED
(Insights → Product Modules)

Mapped To Product

Investment Tracker + Unified Dashboard

AI-powered Business Performance Insights

Equity Management & Advisor Dashboard

Difficulty in aligning workforce investment and company financial goals

Business-Goal Alignment Engine

Observation

No integration of workforce performance with overall company growth

Employees/advisors want to track and model the impact of their equity

Lack of clear visibility into employee investment performance and business goals

JOBS TO BE DONE

Persona

JTBD

Friction Point

Product Module

ADVISOR

Track personal equity and optimize client portfolios. Visualize equity growth and align it with performance.

Difficulty visualizing equity growth and performance impact.

Equity Management, Advisor Dashboard, Investment Tracker

TEAM MANAGER

Monitor team performance, align equity incentives, provide strategic guidance on portfolio management.

Difficulty aligning team performance with financial goals and equity.

Team Performance Insights, Business Goal Alignment Engine

EMPLOYEE

Understand equity growth and vesting schedules. Track personal equity and understand its growth over time.

Lack of clarity on equity growth and its effect on overall wealth.

Equity Management, Real-Time ROI Dashboard

HUMAN RESOURCES

Align HR and financial data. Use equity as a retention tool. Onboard employees and explain equity packages.

Difficulty integrating HR, financial, and equity data.

HR Integration, Employee Onboarding Tools

OPERATIONS

Track company-wide performance and equity allocations. Ensure financial strategies align across departments.

Disjointed systems for tracking performance and equity.

Performance Insights, Business Goal Alignment Engine

ADMIN

Manage user roles, ensure data integrity, generate reports, and support platform maintenance.

Complicated user role management.

User Access Management, Reporting Tools

EXECUTIVE

Align business goals with equity and investment strategies. Track overall company performance and make strategic decisions based on financial data.

Lack of centralized view of company-wide financial and equity data.

Executive Dashboard, AI-Powered Insights, Investment Tracker

STRATEGY

We developed a modular Internal Investment & Workforce Management Platform that addresses four strategic pillars:

1. Investment Performance & Equity Tracking

Vision: Leverage real-time data to track and display employee and advisor equity, helping them correlate their contributions with company value and personal return.

Pillars:

Real-time equity tracking for advisors and employees
Historical investment growth visualization
Modeling future returns based on company projections and advisor performance

2. Unified Dashboard for Business & Workforce Alignment

Vision: Provide a centralized dashboard that gives real-time visibility into business performance, workforce contribution, and how internal equity growth aligns with company-wide objectives.

Pillars:

Business goal alignment (e.g., revenue growth, AUM increase)
Advisor and employee performance metrics and their impact on company value
Real-time data visualizations for both business and workforce KPIs

3. AI-Powered Business Performance Insights

Vision: Enable predictive analytics to model how workforce decisions (hiring, equity allocation, performance) drive business performance and future financial health.

Pillars:

AI-driven financial forecasting and impact modeling
Performance-based investment allocation recommendations
Scenario planning for different advisor or employee performance outcomes

4. Modular, Scalable Platform Architecture

Vision: Ensure the platform is adaptable to future business needs and scalable, with seamless integration into existing financial systems while supporting both internal and external equity management.

Pillars:

Modular architecture (workforce management, investment tracking, business performance modules)
API-first design for integration with financial systems
Scalable cloud-based deployment (with potential on-premise option for clients with data sovereignty concerns)

ROADMAP

KEY INITIATIVES

Q1 (Year 1) - Initial platform architecture, unified dashboard MVP, investment tracking module

Q2 (Year 1) - Advisor equity management features, AI-powered forecasting engine

Q3 (Year 1) - Full dashboard deployment, business performance insights module

Q4 (Year 1) - Advanced scenario planning & AI models, integration with HR & financial systems

Q1 (Year 2) - Employee/advisor mobile app MVP, predictive business performance insights

Q2 (Year 2) - Full integration with existing financial tools, extended forecasting AI models

Q3 (Year 2) - Expanded business goal alignment features, real-time employee investment dashboard

Q4 (Year 2) - Global scaling and enterprise-grade integrations

PRODUCT DESIGN

Core Purpose:

Align people, performance, and equity with business growth and investment strategy

1. Reports Module:

Purpose: Central hub for insights, metrics, and cross-functional visibility.
Annual Report Generator: Auto-build yearly summaries for equity and business impact.
Equity Overview: View ownership %, vesting, and changes over time.
Performance KPIs: Track revenue, AUM, pipeline, client growth.
Goal Progress: Monitor progress against OKRs and business plans.
Equity vs Business Health Correlation: Visual overlays to compare equity performance against business health.
Custom Download & Share Options: Download or share reports across teams or clients.

2. EQUITY MANAGEMENT MODULE

Purpose: Track, simulate, and manage internal ownership.
Equity Grant Viewer: View grants, tranches, and vesting status.
Vesting Timeline: Visual tracker with alerts for upcoming events.
Exercise Planner: Track key dates, potential value, and tax implications.
Scenario Simulator: Model exit scenarios, role changes, or valuation growth.

3. INVESTMENT PORTFOLIO MANAGER

Purpose: Track AUM (Assets Under Management) and internal investments.

AUM Tracker: Overview of assets under management across strategies.
Internal Investment Index: See equity tied to firm growth.
Capital Allocation Overview: Visualize how firm funds and rewards flow.
Performance by Product/Asset Class: Visualized comparisons for performance tracking.

4. STRATEGIC GOAL PLANNING

Purpose: Align human capital with strategy execution.
Goal Setting Framework: Create OKRs or KPIs.
Contribution Tracker: Measure individual or team contributions to goals.
Progress Visualization: Charts for tracking goal completion %.
Goal-Equity Linkage: See how meeting goals impacts equity rewards.

5. FORECAST MODULE

Purpose: Forward-looking tools to drive strategic awareness and planning.
Real-Time KPI Scoreboard: Live personal and firm-level metrics.
Equity Liquidity Simulator: Model potential value at exit, IPO, or sale.
Future Timeline: Visualize vesting, grant cliffs, and bonus events.
AI-Powered Insight Cards: Recommendations and growth nudges.
Scenario Planning Tool: Test “if-then” cases (e.g., exit now vs. wait).

6. TEAM MODULE

Purpose: Centralized team collaboration and culture alignment.
Team Profiles + Bios: Highlight team member backgrounds and growth stories.
Shared Wins Feed: Celebrate wins, milestones, and equity unlocks.
Performance Heatmap: Visualize team impact across the organization.
Equity Sentiment Pulse: Gather anonymous feedback on compensation, vision, and culture.
Gamified Performance Milestones: Reward badges and friendly competition for performance achievements.

7. BENCHMARKING ENGINE

Purpose: Compare performance against industry standards and peers.
Industry Comparisons: View benchmarking results alongside personal and company data.

8. FINANCIAL ASSISTANT

Contextual Financial Guidance
Get role-specific financial advice tailored to your needs—whether you're an advisor, executive, employee, or operations manager.

Equity & Investment Management

Monitor your personal equity, investments, and portfolio performance in real-time. See how your contributions impact financial growth.

Natural Language Understanding

Ask complex financial questions like "What’s my equity growth after my next vesting?" and get clear, actionable answers.

AI-Powered Business Insights

Receive predictive insights about how your investments and performance impact future growth. Make data-driven decisions with real-time forecasting.

9. MOBILE

Manage Your Wealth Anytime, Anywhere

Your Investments in Your Hands

Key Features:

Real-Time Tracking: Instantly monitor your equity and portfolio performance.

Advisor Dashboard: Manage client data and track portfolio insights on the go.

Instant Alerts: Get notified about key updates and market changes.

Top-Notch Security: Secure login with multi-factor authentication for peace of mind.

Performance Insights: See how your work impacts equity growth and future returns.

MY PROFILE

Profile Page: A dedicated page with multiple tabs to manage the user's profile and portfolio data.
Tabs include: User Info: Personal details like name, role, email, and equity metrics.
My Portfolio: Detailed equity management, performance milestones, vesting, and forecasting tools.
Account Settings: Personal settings, security, and notifications.
Past Actions/Reports: View historical performance and business metrics
(KPIs, reports)..

USER PROFILES & ROLES

To ensure the platform’s functionality is personalized and relevant to each user, the following profiles and their specific needs are addressed:

1. Advisor

Needs: Manage client pipeline, track equity, and understand personal ROI.
Key Features: Advisor Dashboard, Pipeline Tracker, Equity ROI Model, Performance Milestones, Historical Impact Map.

2. Team Manager

Needs: Align team performance with business goals, track contributions.
Key Features: Goal Setting Framework, Contribution Tracker, Performance Heatmap, Shared Wins Feed.

3. Employee

Needs: Track personal equity, understand performance milestones, and how their work impacts business growth.
Key Features: Equity Overview, Vesting Timeline, Exercise Planner, Performance Milestones.

4. HR

Needs: Manage equity grants, track vesting, handle compliance, and system integration.
Key Features: HR/Admin Grant Tool, Equity Event Logging, User + Role Management, Data Sync & API Management.

5. Operations

Needs: Oversee business performance, manage users, and ensure system compliance.
Key Features: Portfolio & Investment Tracker, Business Goals & Planning, Compliance & Audit Logs, Performance Insights.

6. Admin

Needs: Configure the system, manage users and permissions, and handle security.
Key Features: User + Role Management, System Settings, Compliance Logs, Data Sync.

7. Executive

Needs: Monitor high-level business performance, make strategic decisions, and ensure alignment of goals and equity.
Key Features: Reports, AUM Tracker, Business Goals & Planning, Real-Time KPI Scoreboard, Forecasting Insights.

IMPACT

1. Employee/Advisor Engagement ↑ 35% due to clearer visibility of their equity and impact

2. Investment Performance Alignment ↑ 40% improved alignment of workforce goals with business outcomes

3. Operational Efficiency ↓ 20% due to reduced manual tracking of investments and equity

4. Advisor Retention ↑ 25% through transparent equity growth and performance-based rewards

5. Company Revenue Growth ↑ 15% through more efficient workforce deployment and goal alignment

REFLECTION

Workforce as Investment Capital:
This platform transforms the way we think about human capital. Employees and advisors are no longer just stakeholders—they are integral to the financial performance.
Transparency Drives Engagement:
The ability to directly link personal equity to performance led to a more engaged and motivated workforce.
Modular Architecture Supported Flexibility:
As new features were needed (e.g., more complex forecasting models), we could easily add modules without disrupting core operations.