FICTITIOUS — FORGE DEMO ONLY · SPECIMEN
2 item(s) are already past due — a beneficiary change requested in June that still leaves an ex-spouse on a client’s IRA, and a missing staff attestation an examiner would ask for. Before year-end, $122,265.91 of required withdrawals still has to be taken, and a new client’s account is being managed on an unsigned agreement.
One row per obligation, pulled from every desk’s tool and the registers, each naming where it came from. Money owed is here; money coming in is not. Nothing here is paid, sent, or chased.
The From column names the tool or register each row came from — click through to check it.
| Due | Days | What’s owed | Owner | From |
|---|---|---|---|---|
| Overdue | ||||
| 2026-06-30 | 97 overdue | Update the Quaid IRA beneficiary (divorce recorded; ex-spouse still named) The instruction is on file; the register is unchanged. | Priya | Meeting Memo Quaid memo |
| 2026-07-30 | 67 overdue | Sam's Q2 code-of-ethics attestation — no submission on file Examiner-requested record (Exam Binder Item 9). | Sam / Ellen (CCO) | Compliance Calendar attestations.csv |
| Next 90 days | ||||
| 2026-10-30 | 25 to go | Q3 code-of-ethics attestations — all six staff open Open, not late — due 10/30. | All staff / Ellen (CCO) | Compliance Calendar attestations.csv · compliance-calendar.csv |
| 2026-12-31 | 87 to go | Year-end RMD sweep — $122,265.91 still to take across 8 households with no meeting booked A short distribution at year-end is a client tax penalty. | Priya | RMD & Beneficiary Flagger year-end at risk · rmd-roster.csv |
Beyond the window, watched not yet due: Form ADV annual amendment (window opens January) (2027-03-31).
In flight from a desk’s tool with no hard due date — tracked so they don’t fall between desks.
| What’s open | Owner | State | From |
|---|---|---|---|
| Westcombe advisory agreement — signature outstanding Account funded ahead of a signed agreement; needed before the next billing cycle. | Priya | 12 days open · high-risk | Onboarding Chaser onboarding chaser |
| Wickham — client not yet told funds arrived Rollover landed 2026-10-02; the welcome/notification is pending. | Priya | 3 days open | Onboarding Chaser onboarding chaser |
| Penrose A023 — August statement never arrived One late arrival (July, received 09-12) plus one true gap (August) — confirm one gap, not two. | Dana | open — verify with custodian | Statement Check statement check |
The office-wide read — it reads every desk’s tool and the office registers, and changes nothing. Every row above names the tool or register it came from.
Other cuts: the dashboard · year-end at risk · two lists · obligations · blind spots.
Full audit trail: overview detail.