Hooks Data Catalog

1 Overview

The Hooks system provides automated data ingestion and cataloguing for all ECIC operational data, serving as the foundation for SEC records management compliance and business intelligence.

Location: /Users/srvo/dev/workbench/hooks/ Primary Catalog: data/duckdb/lake_catalog.duckdb Automation: Daily ingestion (2 AM UTC) + real-time sync (4-hour cycles)

2 Data Catalog Structure

2.1 Core Data Lake

/dev/workbench/hooks/data/
├── duckdb/
│   └── lake_catalog.duckdb          # Primary queryable interface
├── matrix/
│   ├── matrix_records_retention.parquet    # 110 SEC record types
│   ├── matrix_records_sections.parquet     # Compliance categorization
│   └── matrix_index.json                   # 9,941 files catalogued
├── model/
│   ├── contacts_index.json                 # 269KB unified contact mapping
│   ├── lacrm_schema_manifest.json          # CRM schema (339KB)
│   └── data_quality_report.json            # Automated validation
└── ingestion/
    ├── google_workspace/                    # Gmail, Drive, Calendar
    ├── lacrm/                              # CRM data with custom fields
    └── custodial/                          # Altruist account mappings

2.2 Records Management Integration

2.2.1 SEC Compliance Data

Matrix Records: 110 SEC Rule 204-2 record types with retention periods
File Inventory: 9,941 files catalogued across all systems
Retention Categories: LACRM custom fields mapping to SEC requirements
Client Completeness: 43 transaction contacts, 5 holdings contacts tracked

3 SEC Record Types Detail

3.1 110 Record Categories (Rule 204-2 Compliance)

3.1.1 Section 1.0 - Organizational Records (15 types)

Formation documents, ownership records, local filings
Governance records, regulatory communications, legal counsel
Business agreements, network security, business continuity
Insurance/surety bonds, due diligence responses

3.1.2 Section 2.0 - Accounting Records (7 types)

Cash receipts/disbursements, general/auxiliary ledgers
Bank statements/reconciliations, bills/statements
Trial balances, financial statements, balance sheets

3.1.3 Section 3.0 - Employee Records (7 types)

Background reviews, Form U-4, annual attestations
Personal securities trading, compensation data
Disciplinary records, termination documentation

3.1.4 Section 4.0 - Investment Advisory Records (14 types)

Trade tickets, client transactions, position records
Research files, soft dollar agreements, aggregation procedures
Best execution, proxy voting, billing records
RFP communications, due diligence records

3.1.5 Section 5.0 - Client Records (12 types)

Client service agreements, POA/corporate documents
Discretionary authority, custody agreements
Due diligence information, client communications
Financial statements, investment policy statements
Annual disclosures, termination records

3.1.6 Section 6.0 - Advertising Records (8 types)

Marketing materials, recommendation rationale
General marketing, performance reporting
Seminars, telemarketing, internet communications

3.1.7 Section 7.0 - Client Complaint Records (5 types)

Written complaints, supporting documentation
Investigation records, firm responses, final disposition

3.1.8 Section 8.0 - Solicitor Activities (10 types)

Firm solicitor lists, third-party solicitor records
Due diligence reviews, solicitor agreements, brochures

3.1.9 Section 9.0 - Supervision Records (25 types)

Organizational charts, designated principals, associated persons
Outside business activities, terminated employees
Books & records access, disciplinary sanctions
Annual attestations, personal securities trading
Privacy/policy breach records, BCP tests, risk assessments

3.1.10 Section 10.0 - Regulatory Filings (7 types)

Form ADV and amendments, Part 2A/2B brochures
Branch records, renewals, regulatory communications
DRP documents, privilege logs

4 Client Records Completeness Tracking

4.1 Current Client Status

Total Clients: 48 contacts in system
Transaction Contacts: 43 (89.6% of total)
Holdings Contacts: 5 (10.4% of total)
Complete Records: Tracking required for SEC compliance

4.2 Completeness Metrics by Record Type

Record Category	Required	Complete	Percentage	Status
Client Agreements (5.1)	48	TBD	TBD	Manual audit needed
Investment Policy Statements (5.8)	48	TBD	TBD	Manual audit needed
Annual Disclosures (5.12)	48	TBD	TBD	Manual audit needed
Communications Archive (5.6)	48	48	100%	Automated
Due Diligence (5.5)	48	TBD	TBD	Manual audit needed

4.3 Data Quality Issues

Altruist Account Mapping: Manual process creates staleness risk
Document Completeness: Requires manual audit of Google Drive + LACRM
Retention Compliance: Custom fields populated but not validated
Annual Review: Systematic review process needed for completeness certification

4.3.1 Client Records (Section 5.0)

Data Type	Location	Automation Level
Client Agreements	LACRM + Google Drive	Automated (4-hour sync)
Communications	Gmail metadata (180 days)	Automated (daily ingestion)
Account Mappings	Altruist custody data	Manual (copy/paste - no API access)
Due Diligence	Forms responses + LACRM	Automated (validation rules)

Altruist Integration Limitation: - No API Access: Altruist does not provide API access for RIA firms - Manual Process: Account data manually copied/pasted from Altruist platform - Data Staleness: Account information may be outdated between manual updates - Reconciliation Risk: Manual process introduces potential for data inconsistencies

5 Automated Data Flows

5.1 Ingestion Pipeline

graph TB
    A[Google Workspace] --> D[Hooks Data Lake]
    B[LACRM CRM] --> D
    C[Altruist Custody] -.->|Manual Copy/Paste| D
    D --> E[DuckDB Catalog]
    E --> F[Compliance Dashboard]
    E --> G[Data Quality Reports]
    E --> H[Retention Tracking]

    style C fill:#ffcccc
    style D fill:#e1f5fe

5.2 Sync Schedules

Daily Ingestion: 2 AM UTC (Google Workspace, forms, calendar)
LACRM Sync: 4-hour cycles with incremental updates
Altruist Updates: Manual - as needed (no automation possible)
Data Quality: Real-time validation with error alerting
Retention Monitoring: Daily compliance checks

6 Query Interface

6.1 DuckDB Access

The primary data catalog provides SQL query interface over all ingested data:

-- Example: Client communication summary
SELECT contact_name, email_count, last_touch_date
FROM contact_email_touches
WHERE last_touch_date >= '2025-01-01';

-- Example: Records retention status
SELECT record_type, retention_period, last_review_date
FROM matrix_records_retention
WHERE status = 'active';

6.2 Data Validation

Schema Enforcement: Automated validation against defined structures
Quality Metrics: Contact completeness, data freshness, integration health
Error Handling: Comprehensive logging with automated alerts
Audit Trail: Complete execution tracking for compliance

7 Integration Points

7.1 Compliance Systems

Records Matrix: Direct mapping to SEC Rule 204-2 requirements
Retention Policies: Automated enforcement via LACRM custom fields
Audit Preparation: Queryable interface for regulatory examinations
Document Location: Real-time inventory of all firm records

7.2 Operational Systems

Client Onboarding: Forms processing and data validation
Communication Tracking: Email touch analysis and relationship mapping
Portfolio Management: Custodial account integration and reporting
Business Intelligence: Unified data warehouse for analytics

8 Security & Access Control

8.1 Data Protection

Encryption: At-rest and in-transit encryption for all sensitive data
Access Control: Role-based permissions aligned with business functions
Audit Logging: Complete access and modification tracking
Data Residency: Local storage with selective cloud backup

8.2 Compliance Features

GDPR Alignment: Data minimization and user rights framework
SEC Compliance: Automated retention and audit trail requirements
Privacy Controls: PII handling with anonymization capabilities
Version Control: Complete change history for all data transformations

9 Maintenance & Monitoring

9.1 System Health

Uptime Monitoring: Automated health checks and alerting
Performance Metrics: Query response times and resource utilization
Data Freshness: Ingestion success rates and lag monitoring
Error Tracking: Comprehensive logging with root cause analysis

9.2 Operational Procedures

Daily Health Checks: Automated validation of ingestion processes
Weekly Data Quality Reviews: Contact completeness and accuracy validation
Monthly Compliance Audits: Records retention and classification verification
Quarterly System Optimization: Performance tuning and capacity planning

The Hooks data catalog serves as the foundation for ECIC’s data-driven compliance and operational excellence, providing automated records management while enabling sophisticated business intelligence and regulatory reporting.