Other Risk Assessment Systems

Other Risk Assessment Systems

Other Risk Assessment Systems

Mutual Advisors, LLC (“Mutual”) utilizes Orion Risk Intelligence (“ORI”) as the primary system to conduct risk monitoring. Within ORI is a Risk Assessment Questionnaire (“RAQ”) that is a 10-question questionnaire.

 

Other Approved Risk Assessment Systems:

Nitrogen (formerly Riskalyze)

FinaMetrica

NaviPlan

Brinker (TAMP)

SEI (TAMP)

Orion Portfolio Solutions (TAMP)

FinLife

Advisor Intelligence

 

How are RAQs from other systems processed?

If a RAQ is completed from an other approved risk assessment system, then a copy of the completed assessment including the resulting score must be submitted to Compliance. Compliance will convert the score to ORI for use in the risk monitor processes.

 

What if a system is not listed on the Other Approved Risk Assessment Systems list?

If a risk assessment system is not listed on the list of Other Approved systems then a request will need to be made to Compliance to request due diligence on a new vendor.


    • Related Articles

    • Risk Monitor Calculation Guide

      Risk Monitor Calculation Guide Important Terminology: · Risk Assessment Questionnaire (“RAQ”): This is a series of questions that the client answers to help identify their emotional response to risk. Mutual Advisors, LLC (“Mutual”) leverages a ...

    • Risk Monitor Policy Guidance

      Risk Monitor Policy Guidance What is the Risk Monitor Policy? Mutual Advisors, LLC (“Mutual”) requires that every client be taken through a Risk Assessment Questionnaire (“RAQ”). The RAQ is designed to assess a client’s emotional response to risk, ...

    • Risk Assessment Questionnaire Form

      Attached is the Risk Assessment Questionnaire form.

    • Orion Risk Intelligence Scenario Guide for Mutual

      Orion Risk Intelligence Scenario Guide for Mutual Overview Orion Risk Intelligence (“ORI”) utilizes various economic scenarios to back-test portfolios to assess upside potential and downside risk. Mutual’s Compliance Team utilizes a specific subset ...

    • Orion Risk Intelligence (ORI) - Custom Model Sharing

      Background This process is to demonstrate how to share a custom made model between users in Orion Risk Intelligence (formerly Hidden Levers). Custom models are used for creating proposals. Process 1. The user who can currently see the custom model(s) ...