Case Study

Cetera transforms transaction experience for reps and investors with no-code HyperApps’s Autonomous Enterprise Platform helps financial services leader to build resilient, efficient, and scalable operations

"Cetera’s financial advisors and their clients have high expectations regarding personalized services, transparency, and timely information. Meeting these expectations while balancing operational efficiency has been a constant challenge. By integrating no-code automation as a strategic business transformation pillar, we are better able to meet business objectives and drive operations that are resilient, efficient, and scalable."

Brent Gaddis, Head of Strategic Operations, Cetera Financial Group


Cetera Financial Group (Cetera), headquartered in San Diego, CA, is an independent wealth hub and financial services provider comprising one of the largest networks of independent registered investment advisors and broker-dealers in the United States.

Cetera provides clients with securities brokerage, fee-based investment advice, and insurance services through their licensed financial professionals. Cetera oversees approximately $341 billion in assets under administration and $121 billion in assets under management, as of June 30, 2023.


Raising the bar on client experience demanded more automation

Surging competition, shifting regulations and the rise of low-cost investing platforms have been prompting Wealth Management organizations to significantly reduce the manual effort spent on high-volume and repetitive tasks, without compromising on service quality.

Cetera partnered with to ensure that the business demands stemming from new business and transactional volumes are met by operational processes that are streamlined, resilient, efficient, and scalable. Leveraging’s no-code automation capabilities, Cetera was able to deliver exceptional experiences to their reps and raise the bar of personalized services for their clients/investors.

Cetera’s most pressing needs included:

  • Minimize process inefficiencies stemming from client data gaps during rep transitions and new account onboarding.
  • Reduce manual effort involved in pre-screening of new accounts, including verifying documents and data points.
  • Save time and effort involved in updating internal books and records for compliance, risk management, decision-making, client service, and governance.
  • Streamline funding processes by applying business rules to validate fulfillment of funding-related conditions and notifying users on actions taken.
  • Expand anti-money laundering capabilities.
  • Optimize the trade review process and reduce exceptions resulting from missing information.

Solution helps Cetera to automate key processes and achieve efficiency

“’s no-code platform and HyperApps enabled Cetera to build sustainable digital business operations and provide seamless transaction experiences to clients and financial advisors. With this partnership, we were able to boost process transparency and accuracy, reduce dependency on offshore outsourcing models, and manage risk more efficiently. ”

Brent Gaddis, Head of Strategic Operations, Cetera Financial Group’s AI-powered, no-code Autonomous Enterprise Platform and HyperApps purpose-built for Wealth Management, enabled Cetera to build and scale business-critical process automations rapidly. Cetera’s users were able to design and deliver transformative experiences for complex processes involving various processing stages, multiple business rules, and different data sources or types.

By seamlessly integrating with disparate industry applications / systems via APIs or UI level interactions, improved interoperability, streamlined data updates, and eliminated manual operations in these processes.

The workflow engine allowed easy orchestration of various tasks and enabled business users to quickly resolve exceptions or approvals. The data processing engine empowered them to modify business rules through simple configurations, in sync with changing needs, thus reducing the burden on technical teams. Reporting and monitoring was made easy with highly customizable dashboards that were easy to build/edit based on the user’s need.

Highlights of engagement

  • Advisor Transition HyperApp automated rep transition and delivered 5X improvement in turnaround time.
  • New accounts pre-screening automation ensured 80% capacity creation and same-day turnaround on all requests, made IGO / NIGO decisions, and updated the workflow system with a summary of results.
  • Books and records maintenance automation ensured significantly higher accuracy and 2X efficiency gain in regulatory compliance, risk management, decision-making, and client service.
  • Monitor funding automation processed 100% of all cases listed, with 100% compliance to SLA.
  • Automation of AML preliminary review helped create 85% incremental capacity, reduce turnaround time 3X, and improve scalability.
  • Automated trade notifications helped reduce turnaround time 2X and created 70% capacity.


A more seamless transactional experience for advisors and clients

“’s autonomous enterprise platform and HyperApps created additional capacity and helped us free up our staff from routine and time-consuming manual tasks and redirect the capacity into high-value tasks focused on creating superior client experiences. ”

Brent Gaddis, Head of Strategic Operations, Cetera Financial Group

Cetera is a large and complex organization with multiple affiliates. helped to streamline, optimize, and bring consistency across largely disparate processes that served similar objectives. The no-code enterprise platform and HyperApps provided a seamless transaction experience to Cetera’s financial reps and clients /investors.

Cetera transforms transaction experience for reps and investors with no-code HyperApps

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Highlights of benefits

Cost Efficiency

Significant savings in operational and offshore cost expenditure.

Capacity Creation

50,000 hours of annual workforce capacity created.

Faster Turnaround

5X reduction in cycle time; 100% SLA compliance.

Ease of Deployment

API-based modules allowed rapid deployment across processes.


Handled up to 3X surge in volume.

Risk Management

Manual errors reduced significantly.


Configurable solution-adapted quickly to business rule changes and variables.

Operational Control

Real-time KPI dashboards; reduced dependency on outsourcing partners.

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