You can enroll client accounts into SWIM anytime via the dashboard. For information and details on SWIM, please refer to the SWIM page linked below.

1. First, navigate to the client household view you wish to enroll in SWIM and click Task. Choose Ops Task > Savvy Wealth Investment Management (SWIM).

   

2. Confirm whether you would like to implement the client in one model or a sleeve model, then click Next.

   

3. Choose the strategy you would like to implement, then click Next.

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   If you are implementing a third-party model for the first time, please contact Mike McCarthy or David Gao in your dedicated #ops Slack channel.

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4. Confirm the account(s) for the implementation, management level, allocation, and client’s suitability.

   

5. Confirm whether this is a tax aware strategy.

   

6. If you would like to apply an overlay, select Yes. Additional fields will appear for you to confirm the overlay type, fee assignment, and index mapping.

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   The fee displayed on the left-side menu will update depending on the overlay option you select.

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7. Confirm whether the team should reserve any cash in the account(s).

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   If you select Yes, please note that any cash reserve requirements specified will be in addition to the 1.5% reserved on taxable accounts and 0.75% for tax-exempt & tax-deferred accounts.

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8. If there are any systematic withdrawals (eg. RMDs) that will be made from the portfolio, please be sure to provide our team details here.

   

9. In addition to confirming the client’s tax-sensitivity level, it’s important to verify the client’s maximum gains preference for our team to properly transition the client’s portfolio.