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Overview
Workflow for All Representative Offboarding Scenarios

Change Owner: Orion Planning
Inactivate Logins: Manage Users
Reassign Applicable Custom Reports
Inactivate Representative Profile: Firm Profile
Other

Scenario 1 - Representative's Book of Business is Staying with your Firm

Reassign Clients: Portfolio Audit
Reassign Payees and Payouts: Billing Audit

Scenario 2 - Representative's Book of Business is Leaving your Firm

Inactivate Clients: Portfolio Audit and Manage Users
 

Overview

Representative-level users differ from advisor-level users in that representatives can only see their book of business or the representative profile they are assigned to. Ensuring your firm's representatives are set up correctly is essential to your database structure and organization. Equally important, if a representative leaves your firm, adjusting their book of business and reassigning their clients are straightforward yet critical steps.

Use this guide as a checklist for removing representatives from your database. It is best practice to complete each item in the order it's listed in the article. After you inactivate their login, there are two workflows to follow:

• If the representative's book of business is staying with your firm, follow Scenario 1 below.
• If the representative's book of business is leaving your firm, follow Scenario 2 below.

Please refer to our Best Practices for Creating Reps and Associated Areas guide for more information on creating representatives.

 

Workflow for All Representative Offboarding Scenarios

Change Owner: Orion Planning 

Action Item

Additional Information/Related Resources

The representative, if the owner, must update the owner of their client(s) within Orion Planning. Note: The owner is the client’s assigned representative within Portfolio Audit. If the owner within Orion Planning differentiates from the assigned representative, it is because someone other than the assigned representative linked the client to planning initially.

Login to Orion Planning > Select the Client from the Client List > Click on client’s name in upper left corner > More Actions > Sharing Settings This is where the representative invites a new advisor to become the owner. Invite Advisors > Select Advisor dropdown > Choose the advisor to invite > Change the access level to Owner by selecting the dropdown next to the advisor’s name on the list under Who has access.

Inactivate Logins: Manage Users 

Action Item		Additional Information/Related Resources
	Deactivate the representative's login to prevent them from accessing the system.	Deactivate Login: Manage Users app > Representatives tab > right-click the desired row > Inactive User Related Resource: Manage Users App Overview

 

 

Reassign Applicable Custom Reports 

Look for any custom reports the representative may have created and re-assign ownership of the reports if needed.
 

Action Item		Additional Information/Related Resources
	Launch the Query App and run Query 5918 - Custom Report List with Creator. If you do not see any custom reports created by the representative, you may skip the remaining action items in this section entirely.	This lists all custom reports that have been created in the database and the user who created them. Related Resource: How to search for and run Queries in the Query App
	Log into your database as the representative and review the Custom Reports section of the Report Builder for any reports the Rep has created.	Launch the Reporting App > in the Report Builder  section, click Custom Reports Note: If the Representative does not have access to the Report Builder (aka RB3), you will not see this section in the Reporting app when logged in as them. If that is the case, and there are reports created by the Rep listed in the results of Query 5918, this indicates the Rep created the reports in the Legacy Report Builder. Skip the rest of the action items in this section and continue to the section named: (Optional) Review any Reports Created in the Legacy Report Builder
	Open any report the Rep has created in the Report Builder Editor, and make sure other users have access to run and edit the report.	Click Edit next to the name of any report the Rep has created. The report will open in the Report Builder editor. In the upper right, click Actions > Report Access Review the sections in the left named Role and User to make sure users other than the Rep have access to run and edit the report.  Review Managing Report Access in Report Builder to learn how to manage access for custom reports.

 

 

(Optional) Review any Reports Created in the Legacy Report Builder

If the representative has created any reports in the Legacy Report Builder, review them and reassign access to other users. This is optional, as these reports may be out of date, or superseded by newer reports created in the Report Builder (RB3).

 

Action Item		Additional Information/Related Resources
	Review any legacy reports created by the representative.	Launch the Reporting app > under the Legacy Report Builder section on the left panel, select Report Builder. Open any reports created by the representative by clicking the name of the report. In the right sidebar, click on the lock icon:
	Update the Web Access and User Access (if applicable).	Web Access determines what user levels will be able to access the report. If Rep is selected, all users who are Rep level or above (such as Advisor level) will be able to access this report unless they are otherwise restricted from accessing the report as individual users in the User Access section.
	Save changes to the report.	Click on Actions > Save Report in the upper right.

 

 

Inactivate Representative Profile: Firm Profile 

Action Item		Additional Information/Related Resources
	Locate the representative profile and verify their AUM and managed households are 0.	View Representative Profile: Firm Profile > Representatives tab > locate desired row > Columns on right-hand panel > if excluded, add columns for Value and Households. Examine columns in the center grid. Related Resource: Use Filters, Columns, and Groupings to Customize Your View
	Inactivate the representative profile.	Firm Profile > Representatives tab > right-click desired row > Edit Representative > uncheck Active box & change Status field to InActive.
	If a payee was created for this representative: Inactivate the payee.	Firm Profile > Payees tab > right-click desired row > Edit Payee > uncheck Active box.
	If a custom bill entity was created for this representative: Inactivate the bill entity.	Firm Profile > Bill Entities tab > double-click desired row > uncheck Active box.
	If used in a payout calculation: Add "Inactive" to the end of the payout rate name and the payout schedule name. Note: If not used in a payout calculation, the payout rate and payout schedule can be updated with the new Rep or be deleted.	Payout Rates tab > double-click desired row > edit Name field. Payout Schedules tab > double-click desired row > edit Name field.

 

 

Other

Action Item

Additional Information/Related Resources

	If applicable, reconfigure custom Rep Mapping set up for the representative.	Query app > run Query ID 14066: Custodial Rep Code Mapping to Orion Representative Audit. To make updates to your firm's rep mapping, follow the steps in the related resource below. Related Resource: Representative Mapping in Orion
	If applicable, enable automatic custodial rep code updates for your DST feeds.	Orion has the capability to automatically update custodial rep code changes as long as the new custodial rep code is provided in DST's position files. To enable this feature, contact the SME Data Recon team. Please Note: This does not change the representative assigned at the household level. This only impacts the custodial rep codes at the account level. Related Resource: Interface Guide & Setup - DST (FanMail) - EXTERNAL

 

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Scenario 1 - Representative's Book of Business is Staying with your Firm

If the representative's clients are staying with your firm, use the following steps to correctly reassign who will be managing these households. If the clients are leaving your firm, refer to the next section: Scenario 2 - Inactivate Clients: Portfolio Audit and Manage Users

Reassign Clients: Portfolio Audit 

Action Item		Additional Information/Related Resources
	Locate the households assigned to this representative.	Configure View: Portfolio Audit app > Households tab > add Representative Name column > search below the column for the Rep's name Related Resource: Use Filters, Columns, and Groupings to Customize Your View Another method is in the Firm Profile application: Representatives tab > right-click desired row > Households
	Replace the assigned representative with whoever is going to manage these households going forward.	If fewer than 30 households: Reassign by editing en masse in the grid. Portfolio Audit app > Households tab > highlight all households assigned to that Rep and right-click  > Edit Households. "Field to update" = Representative and use the "Enter new field value" search to input the new managing representative. Related Resource: How To Edit Fields En Masse If greater than 30 households: Reassign by using the Client Update Custom Import template. Use the Client ID (Household ID) and Rep Number (Firm Profile > Representatives > Representative Number field) columns to update en masse. Related Resource: How-To and Overview: Custom Imports

 

 

Reassign Payees and Payouts: Billing Audit 

Continuing Scenario 1, if your firm bills with Orion, follow these steps to correctly reassign any outdated payee assignments or payout schedules. Please reach out to the SME Billing team if you have questions or need assistance.
 

Action Item		Additional Information/Related Resources
	If default bill entities were used other than 'Rep:' Update the payee assignment at the account level. Note: This only applies to firms who set up payouts the legacy way.	Update Payee Assignment: Billing Audit > All Accounts > right-click desired row > Edit Account > Payees tab > Assign New Payee > Save.  Related Resource: Billing Payout Structures Setup Process ("Assign Payees to the Account" section)
	If any payout schedules were changed in the previous sections: Assign a new payout schedule to all impacted accounts using the account change history tool or import.	Assign New Payout Schedule: Billing Audit > All Accounts > Payout column > search below the column for the inactive payout schedule's name. If the payout schedule was deleted, use the Missing Payout Schedules tab. Related Resource: How-To and Overview: Payout Rates & Payout Schedules  ("Assigning Payout Schedules" section)

  
 

Scenario 2 - Representative's Book of Business is Leaving your Firm

If the representative's clients are leaving your firm, use the following steps to correctly inactivate their accounts and client portal logins, if applicable. If these clients are staying with your firm, refer to the prior section: Scenario 1 - Representative's Book of Business is Staying with your Firm

 

Inactivate Clients: Portfolio Audit and Manage Users  

 

Action Item		Additional Information/Related Resources
	Cancel the client accounts.	Cancel Accounts: Locate all accounts in the Rep's book of business (recommended navigation: Firm Profile > Representatives tab > right-click representative > Accounts). Review How to Cancel an Account and Undo a Cancellation for step-by-step instructions.
	Inactivate the client logins.	Inactivate Logins: Manage Users > Clients tab > filter the logins by the Entity ID column > click the first login > hold the SHIFT key on your keyboard > click the last login > right-click within the highlighted field > Inactivate Users. Related Resource: Use Filters, Columns, and Groupings to Customize Your View