ClearMind Capital · Internal

Welcome to the Team Hub.

Your home base for getting things done at ClearMind — the tools we use, how to use them, quick links, and onboarding. Compliance records live in Smartria; this hub is for everyday help. Internal & confidential.

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Operations

Tools & How-To

What software we use for what — and how to use each one.

View tools → Resources

Quick Links

ADV, custodian, planning, billing, compliance, and more.

Open links → Firm

Onboarding Kit

New-hire checklist, accounts, tools, and required sign-offs.

Start → Reference

Compliance

Deadlines and policies — with the real work handled in Smartria.

Open → Reference

Personal Trading

Quarterly reporting requirement — how and where to file.

Learn → Policy

AI Use Policy

Client data goes through Hazel — here's the rest.

Read →
Operations

Tools & How-To

What we use for what — and how to use it. If it's not here, ask before adopting a new tool (see the AI Use Policy for AI tools).

Zoom Scheduler

Scheduling

All client and prospect meetings are booked here. Private Wealth uses the personal scheduler link; Workplace Retirement uses the 401(k) consultation link — the same links embedded on the public site.

Open Zoom Scheduler ↗

Wealthbox

CRM

System of record for contacts, workflows, notes, and tasks. Follow the CRM & Tech Standards for contact entry, tags, and the meeting → task flow.

Open Wealthbox ↗

Hazel AI

Client tasks / AI

Approved AI assistant for client-related work (via Altruist). Per firm policy, anything involving client data goes through Hazel — never general AI tools.

See AI Use Policy →

Altruist

Custodian

Custody, account opening, funding, trading, and the client portal. This is the "Client Login" link on the public site.

Open Altruist ↗

RightCapital

Financial planning

Planning software for cash-flow, retirement, tax, and scenario modeling in Private Wealth engagements.

Open RightCapital ↗

Smartria

Compliance

Our compliance platform and system of record — personal trading, attestations, the compliance calendar, logs, and sign-offs. When in doubt on compliance, it lives in Smartria.

Open Smartria ↗

Encyro

Secure email / e-sign

Encrypted email, secure document delivery, and internal e-signatures. Use it for anything sensitive or that needs a signature.

Open Encyro ↗

Microsoft 365

Email & Office

Firm email (@clearmind-capital.com), calendar, and Office apps.

Open Outlook ↗

Claude & Claude Design

Website & AI help

We build and update the ClearMind website (and this hub) with Claude. To change the site — a new section, a copy tweak, a design fix — describe what you want in plain English and Claude does it; always review before it goes live. Follow the AI Use Policy: no client data in prompts.

Open Claude ↗

Clarity Corner Submission

Publish content

Add a new Clarity Corner article, video, or short. Fill in the fields, save, and it goes live on the site automatically — no code, no developer.

Submit to Clarity Corner ↗
Firm

Onboarding Kit

Everything a new team member needs in their first week — including the sign-offs required before working with clients. Formal acknowledgments are collected in Smartria (and Encyro where a signature is needed).

1 · Accounts & access

  • Microsoft 365 email (@clearmind-capital.com)
  • Cloudflare Access to this Team Hub
  • Wealthbox, Altruist, RightCapital, Encyro (as role requires)
  • Smartria account set up as an access person (if applicable)

2 · Required sign-offs (via Smartria)

New hires review and formally acknowledge each of these in Smartria before client work begins:

  • Code of Ethics acknowledgment
  • Compliance Manual — read & acknowledged
  • AI Use Policy
  • CRM & Tech Standards
  • Business Continuity Plan
  • Privacy Policy & information-security acknowledgment
  • Initial personal securities holdings report (access persons)
Complete sign-offs in Smartria ↗

3 · Tools walkthrough

  • Walk through the Tools & How-To section together
  • Set up the Zoom Scheduler links and calendar
  • Review the meeting → task flow in Wealthbox
Reference

Compliance

Quick reference for recurring obligations. Smartria is the system of record for reminders, filings, attestations, and evidence — complete everything there.

CadenceObligationOwner
Quarterly · within 30 days of quarter-endPersonal securities transaction reportsEach access person
AnnuallyPersonal securities holdings reportEach access person
AnnuallyCode of Ethics acknowledgmentAll staff
AnnuallyForm ADV update (within 90 days of fiscal year-end)CCO
AnnuallyCompliance program review — Rule 206(4)-7CCO
ContinuouslyRequired logs (advertising, complaints, gifts, etc.)CCO
Open Smartria ↗
CCO: Nick George. Report any potential violation to the CCO promptly.
Reference · Rule 204A-1

Personal Trading

As an access person you report your personal securities activity on a set schedule. It's quick, but it's required.

  • Quarterly transaction report — due within 30 days of each quarter-end (even with no reportable transactions, you still confirm "none").
  • Annual holdings report — a snapshot of your reportable holdings once a year.
  • Pre-clearance where the Code of Ethics requires it.
How to file: complete it in Smartria (or attach brokerage statements there). Don't email transaction details around — keep it in the compliance system.
File in Smartria ↗
Policy · All Team

AI Use Policy

How we use AI responsibly at a fee-only fiduciary firm.

  • Client data → Hazel AI only. Never paste client names, account numbers, or personal identifiers into general AI tools.
  • General AI is fine for non-client work (drafting, research, marketing) using approved tools.
  • A person reviews all AI output before it's used with clients or published.
  • No investment recommendations are made by AI for any specific client.
Standards · All Team

CRM & Tech Standards

Keep Wealthbox and Hazel clean and consistent so nothing falls through the cracks.

Contact entry

  • Consistent naming and complete contact fields.
  • Correct contact type and the right tags for visual context in Hazel.

Meeting → task flow

  • Every meeting produces notes and follow-up tasks with owners and due dates.
  • Document filing follows the firm naming convention.
Firm

Team & Roles

PersonRoleAccess
Nick GeorgeFounder & CEO · Chief Compliance Officer · Private WealthAll + CCO
Shane DuckworthPartner · Private Wealth AdvisorAccess person
Austin WolfeDirector · Workplace Retirement AdvisoryAccess person
Joe AndersonDirector · Defined Contribution PlansAccess person
Update as the team grows. "Access person" = subject to personal trading reporting.