Asset Management Value Streams: AI-Ready Edition | Capstera

The Asset Management Value Streams: AI-Ready Edition is for business and enterprise architects who need to see how asset management work runs from trigger to value, and where AI belongs in it. It covers 18 value streams in 90 stages. Each stage is shown as it runs today and as it could run with AI, with the target AI mode, the agents involved and the human checkpoint that stays with a person. It holds the 15 value streams every investment and wealth management firm shares and the 3 specific to asset management, from Investment and Wealth Management Industry Business Architecture Reference Model: AI Transformation Blueprint.

What's Inside

The same 18 value streams come in three files: a deck to present, a workbook to work in and a guide to read, plus an import file for the Capstera platform. The workbook holds every field; the deck shows each stage as it runs today and AI-native, with its AI mode and human checkpoint.

• 18 asset management value streams and their 90 stages, each with its steps, stakeholders, entry and exit criteria, and the capabilities that enable it
• For every stage: today's pain points, the AI-native future state, the agents involved, the target AI mode, the human checkpoint and KPIs
• 24 standard investment and wealth management value streams with their steps, as a reference process view
• The Value Streams deck (PowerPoint): every value stream as a flow, then stage by stage
• The workbook (Excel): the value streams and every stage, in sheets you can filter and extend
• The guide (Word): the scales used at each stage (AI mode, human oversight, risk tier and work pattern), every value stream in prose, and the license
• An import file that loads the value streams and their stages into the Capstera platform
• Free corrections, and new versions free for 180 days

Every file names your organization and carries your license ID.

The 18 Value Streams

Each value stream runs from a trigger to the value it delivers. The list gives that value and the number of stages.

• Product Idea to Launched Product (5 stages): A product built for named clients, with documents, fees and coded guidelines that say the same thing, approved by its accountable approver and launched only when operations, data and reporting are ready.
• Prospect to Funded Account (5 stages): A client verified, documented and funded once, with eligibility, identity, tax status and any side letter terms recorded before the first subscription is accepted.
• Research Idea to Approved Recommendation (5 stages): A recommendation portfolio managers can act on, with its evidence, its risks and the checks against restricted and inside information recorded before anyone trades on it.
• Allocation Review to Approved Model Portfolio (5 stages): Capital market assumptions, allocations and model portfolios that rest on validated quantitative models, are stressed before approval and reach every portfolio that follows them in one release.
• Portfolio Drift to Rebalanced Portfolio (5 stages): Portfolios brought back to target within their guidelines, risk limits and liquidity needs, with every order checked before release and the result recorded in the investment book of record.
• Investment Decision to Settled Trade (5 stages): Orders checked, released by a Trader, executed, allocated fairly, confirmed, settled and reconciled, with errors corrected and every trade surveilled.
• Break Detected to Reconciled Holding (5 stages): Every break traced to its cause, corrected in the right book, checked for its effect on the net asset value and on guideline compliance, and its cause removed at the source.
• Corporate Action Announced to Entitlement Booked (5 stages): Every event captured once and validated, elections and votes decided before the deadline by the person who owns them, and entitlements booked, collected and reclaimed in full.
• Valuation Point to Approved Valuation (5 stages): A net asset value built from validated prices, documented fair values and complete accruals, released by its accountable approver, with errors corrected and investors compensated where owed.
• Fee Period to Fees Collected (5 stages): Fees calculated from the terms in force and the released asset values, billed and collected once, with partner fees paid and every adjustment approved at the right level.
• Redemption or Withdrawal Request to Paid Client (5 stages): Proceeds paid at the right price to a verified payee under the dealing terms, with the fund's liquidity protected and the client told what happened.
• Guideline Breach Detected to Remediated Breach (5 stages): A confirmed breach classified, measured and remediated by someone other than the manager of the portfolio that breached, reported to the client and prevented from recurring.
• Surveillance Alert to Closed Review (5 stages): Every alert triaged and investigated with its evidence, closed or escalated by the accountable person, and the restricted list, barriers and scenarios improved from what it showed.
• Period End to Delivered Client Report (5 stages): Statements, performance and holdings reports built from closed books and released net asset values, with every performance claim reviewed before a client sees it.
• Reporting Period to Filed Regulatory Report (5 stages): Filings built from controlled data, validated and reconciled to the financial statements, signed off by the Chief Compliance Officer (enterprise) and submitted with their evidence kept.
• Search Notice to Funded Mandate (5 stages): A bid decided on fit and capacity, a response whose claims are reviewed, mandate terms the organization can run, and a mandate funded and invested with its guidelines coded.
• Creation Order to Settled Fund Basket (5 stages): Orders accepted only against a published basket and a valid agreement and settled in full, with the fund's tracking and its premium or discount watched.
• Index Change to Implemented Portfolio (5 stages): Index changes implemented on the effective date with the least tracking difference and cost, checked against guidelines and liquidity, and reported to the fund board.

Who Uses It

Process owners and the teams who redesign asset management work, transformation leads who need a future-state process view to plan from, and business architects who map value streams to capabilities.

How It Fits With the Other Products

Each stage names the capabilities that enable it; they are defined in the Investment and Wealth Management Industry Business Capabilities Map: AI-Ready Edition. The agents each stage involves are specified in Investment and Wealth Management Industry Business Architecture Reference Model: AI Transformation Blueprint, which also holds the business data model, use cases, controls, an operating model and a roadmap. The Asset Management Business Data Model is sold on its own too.

Target AI modes describe a typical large enterprise and are a starting point for your own.