Account opening
Open accounts that come back clean
Sluice checks the application against the custodian's own requirements before anyone signs — so the paperwork that goes out is the paperwork that comes back.
Margaret Chen
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Good order
Identity & CIP
Suitability — nine factors
Beneficial ownership ≥ 25%
Funding instructions
The gate
Every requirement, checked before it costs you a week
A NIGO is not a mistake anyone makes on purpose. It is a requirement nobody could see at the moment they were filling the form. Sluice runs the account against the registration type's real requirement set — the capability matrix, the firm's own rules, and the routing rules that elevate a case for a decision — and tells you what is missing while the client is still on the phone.
- 39 NFS registration types, each with its own requirement set
- The verdict is one number: could this be submitted today, yes or no
- Nothing is disabled without the reason printed next to it
Margaret Chen
Identity & CIP
Suitability — nine factors
Investment objective
Funding instructions
Straight through
The work goes where the answer is
An incomplete account is not an exception — it is work in progress, and it belongs with the advisor who can finish it. A genuine elevation is different: a foreign client, a large funding event, a screening hit. Sluice separates the two, so a principal's queue holds decisions and not typos.
- Elevations route for a decision; incomplete work stays with the advisor
- An override is recorded with its reason, its actor, and a fingerprint of what was overridden
- Change the underlying facts and the override stops applying — it cannot silently outlive its reason
Routed for decision
Non-US client · AMLPrincipal
Funding above thresholdEDD
Screening adjudicationCompliance
Reads from and writes back to
- NFS · Fidelity
- Altruist
- Envestnet
- Wealthbox
- Dynamics 365
- DocuSign
- Salesforce
- Redtail
See it against your own book
Bring a household that has given you trouble. Thirty minutes, no deck.
Request a demo