Records Management Matrix
1 Overview
SEC-compliant records management matrix defining retention requirements, storage locations, and ownership assignments for all firm documentation as required under Investment Advisers Act Rule 204-2.
Authority: SEC Rule 204-2 (Books and Records) Scope: All firm records across operational and compliance domains Data Catalog: Hooks system at /dev/workbench/hooks/data/ (110 records catalogued) Implementation: Automated tracking via hooks data lake with DuckDB query interface
2 Data Architecture Integration
2.1 Hooks Data Catalog Location
- Primary Catalog:
/dev/workbench/hooks/data/duckdb/lake_catalog.duckdb - Matrix Data:
data/matrix/matrix_records_retention.parquet(110 SEC record types) - File Inventory:
data/matrix/matrix_index.json(9,941 files catalogued) - Data Quality:
data/model/data_quality_report.json(automated validation)
2.2 Records Storage Systems
- LACRM CRM - Client records with retention category custom fields
- Google Workspace - Documents, emails, calendar, forms (automated sync)
- Custodian Systems - Altruist account mappings and portfolio data
- DuckDB Data Lake - Normalized, queryable interface over all systems
- Local Matrix Files -
/Volumes/back_marx/google drive/matrix/spreadsheets/
3 Records Categories
3.1 1.0 Organizational Records
Retention Standard: Life of firm plus 3 years for formation docs, 5 years for operational
| Section | Document Type | Current Location | Assigned | Retention |
|---|---|---|---|---|
| 1.1 | Formation Documents | Formation Documents | Sloane Ortel | Life + 3 years |
| 1.2 | Ownership Records | Formation Documents | Sloane Ortel | Life + 3 years |
| 1.3 | Local Filings/Licensing | Local Filings | Sloane Ortel | Life + 3 years |
| 1.4 | DBA Filings | Local Filings | Sloane Ortel | Life + 3 years |
| 1.5 | Governance Records | Missing | TBD | Life + 3 years |
| 1.6 | Regulatory Communications | Regulator Correspondence | Sloane Ortel | Life + 3 years |
| 1.9 | Filing Fee Receipts | Local Filings | Sloane Ortel | 5 years |
| 1.13 | Insurance/Surety Bonds | Insurance and Surety Bonds | TBD | TBD |
| 1.14 | Due Diligence Responses | Google Doc Link | TBD | TBD |
Critical Gaps: - [ ] Governance/Minutes Books missing - [ ] Business Continuity Plan needs versioning - [ ] Network Security documentation missing
3.2 2.0 Accounting Records
Retention Standard: 5 years from fiscal year end
| Section | Document Type | Status | Retention |
|---|---|---|---|
| 2.1 | Cash Receipts/Disbursements | Missing | 5 years |
| 2.2 | General/Auxiliary Ledgers | Missing | 5 years |
| 2.3 | Bank Statements/Reconciliations | Missing | 5 years |
| 2.4 | Bills/Statements | Missing | 5 years |
| 2.5 | Trial Balances/Audit Papers | Missing | 5 years |
| 2.6 | Financial Statements | Missing | 5 years |
Required Action: Establish accounting records system with CPA integration
3.3 3.0 Employee Records
Retention Standard: 5 years from termination date
| Section | Document Type | Status |
|---|---|---|
| 3.1 | Background Reviews/U-4/Fingerprints | Missing |
| 3.2 | Form U-4 Initial | Missing |
| 3.3 | Annual Attestations | Missing |
| 3.4 | Personal Securities Trading | Missing |
| 3.5 | Compensation Data | Missing |
Current Status: Single-person firm, employee framework pending
3.4 4.0 Investment Advisory Records
Retention Standard: 5 years
| Section | Document Type | Current Location | Status |
|---|---|---|---|
| 4.1 | Trade Tickets/Instructions | Missing | Required |
| 4.2 | Client Securities Transactions | Missing | Required |
| 4.3 | Cross-Reference/Position Records | Missing | Required |
| 4.4 | Research Files | Missing | Required |
| 4.10 | Best Execution Procedures | Missing | Required |
| 4.12 | Billing Records/Reviews | Missing | Required |
| 4.13 | RFP Communications | Missing | Required |
| 4.14 | Due Diligence Records | Missing | Required |
Integration Point: Links to client onboarding automation system
3.5 5.0 Client Records
Retention Standard: 5 years from agreement termination Data Source: LACRM CRM + Google Workspace + Altruist custody Automation: Hooks data lake with 4-hour LACRM sync cycle
| Section | Document Type | Current Location | Automation Status |
|---|---|---|---|
| 5.1 | Client Services Agreement | LACRM custom fields + Google Drive | Automated |
| 5.2 | POA/Corporate Documents | Google Drive metadata catalog | Automated |
| 5.3 | Discretionary Authority | LACRM retention categories | Automated |
| 5.4 | Custody Agreements | Altruist account mappings | Manual (no API access) |
| 5.5 | Client Due Diligence | LACRM + forms responses | Automated |
| 5.6 | Client Communications | Gmail metadata (180 days rolling) | Automated |
| 5.7 | Financial Statements/Tax Returns | Google Drive + secure storage | Automated |
| 5.8 | Investment Policy Statement | LACRM custom fields | Automated |
| 5.12 | Annual Disclosures | Automated delivery tracking | Automated |
Data Catalog Integration: - contacts_index.json - 269KB unified contact mapping - contact_email_touches.parquet - Communication tracking - altruist_account_contact_map.parquet - Manual custodian data (no API) - Data quality validation for 43 transaction contacts, 5 holdings contacts
Altruist Integration Limitation: - No API Access: Altruist custody platform does not provide API access for RIA firms - Manual Process: Account data manually copied/pasted from Altruist dashboard - Data Staleness Risk: Account information may be outdated between manual updates - Reconciliation Gap: Manual process creates potential for data inconsistencies
4 Client Records Completeness Dashboard
4.1 Current Client Portfolio (48 Total Contacts)
- Transaction Contacts: 43 (89.6%) - Active investment management
- Holdings Contacts: 5 (10.4%) - Asset monitoring only
- Completeness Tracking: Manual audit required for most record types
4.2 Record Completeness by SEC Category
| SEC Section | Record Type | Required | Complete | % Complete | Status |
|---|---|---|---|---|---|
| 5.1 | Client Service Agreements | 48 | TBD | TBD | π Audit needed |
| 5.2 | POA/Corporate Documents | 48 | TBD | TBD | π Audit needed |
| 5.3 | Discretionary Authority | 48 | TBD | TBD | π Audit needed |
| 5.4 | Custody Agreements | 48 | TBD | TBD | π Manual audit (Altruist) |
| 5.5 | Client Due Diligence | 48 | TBD | TBD | π Audit needed |
| 5.6 | Client Communications | 48 | 48 | 100% | β Automated |
| 5.7 | Financial Statements | 48 | TBD | TBD | π Audit needed |
| 5.8 | Investment Policy Statements | 48 | TBD | TBD | π Audit needed |
| 5.12 | Annual Disclosures | 48 | TBD | TBD | π Audit needed |
Critical Action Required: Manual audit of Google Drive + LACRM to populate completeness percentages
4.3 6.0 Advertising Records
Retention Standard: 5 years from fiscal year end
Current Status: Active with Labs platform and website content Integration: Links to content management and approval workflows
4.4 7.0 Client Complaint Records
Status: N/A (no complaints to date) Framework: Prepared for 5-year retention standard
4.5 8.0 Solicitor Activities
Status: N/A (no solicitor arrangements)
4.6 9.0 Supervision Records
Retention Standard: 5 years from fiscal year end
| Section | Document Type | Current Status |
|---|---|---|
| 9.2 | Designated Principals List | Active |
| 9.10 | Annual Attestations | Required |
| 9.19 | Policies & Procedures | Compliance Manual |
| 9.20 | Code of Ethics | Invest Vegan Code of Ethics |
4.7 10.0 Regulatory Filings
Critical - Life of Firm Retention
| Section | Document Type | Location | Status |
|---|---|---|---|
| 10.1 | Form ADV/Amendments | Regulatory Filings | Active |
| 10.2 | Form ADV Part 2A | Regulatory Filings | Active |
| 10.6 | Regulatory Communications | Regulator Correspondence | Active |
5 Implementation Framework
5.1 Automated Systems Integration
graph TB
A[Records Matrix] --> B[Compliance Dashboard]
B --> C[Retention Alerts]
B --> D[Document Tracking]
D --> E[File Assignments]
E --> F[Review Cycles]
C --> G[Automated Actions]5.2 Priority Implementation Order
- Client Records (5.x) - Highest business impact
- Investment Advisory (4.x) - Regulatory priority
- Organizational (1.x) - Foundation requirements
- Supervision (9.x) - Internal controls
- Accounting (2.x) - Financial infrastructure
5.3 Technology Stack
- Data Lake: DuckDB at
/dev/workbench/hooks/data/duckdb/lake_catalog.duckdb - Document Storage: Google Workspace + Hetzner S3 backup
- CRM Integration: LACRM with retention category custom fields
- Automation: Hooks system (daily 2 AM UTC ingestion, 4-hour CRM sync)
- Quality Control: Automated data validation and error handling
- Query Interface: DuckDB SQL over 9,941 catalogued files
- Audit Trail: Complete execution tracking with version control
6 Next Actions
6.1 Immediate (30 Days)
6.2 Medium Term (60-90 Days)
6.3 Ongoing
This matrix serves as the foundation for SEC-compliant record keeping while integrating with ECICβs existing operational systems and planned automation initiatives.