Open items
They asked me for
- Rheece Hilliard2026-09-09
Whether his Series 7 and 63 survive the FINRA CE deadline he missed in December 2025, or are defunct
open — JT replied 2026-09-11 "Let me look into this"; target 2026-09-15
- Chad Burnham2026-09-08
Forward anything that arrives on the 877 (8776528607) or fax-line port requests while Derek is out; he added JT's address to both orders for this
met 2026-09-11 for the first confirmation — order 2026090823375823913 confirmed for 2026-09-18 11:30 AM ET, forwarded within two minutes; which number it covers is not stated; continues until both orders complete
- Brandon Drespling2026-09-07
Save the entire Zakir complaint review to `Box\Triumph Capital Management\Team\1_COMPLIANCE FOLDER\CLIENT COMPLAINTS\CLIENT COMPLAINTS\2026\2026-Q3_Client Complaint Review`, in addition to the client file
open, target 2026-09-08; JT flagged he does not remember the client-complaint process and will look it up first
- Brandon Drespling2026-09-07
Add a "YTD Realized Capital Gain/Loss" column at the far right of the Fiduciary Oversight Report
open, target 2026-09-11 — he set the pace himself: "Don't need it now... Just whenever this week"
- Jamar Anderson2026-09-05
A documented method for recording client follow-up items pending on Derek: what was communicated, who directed it, what remains pending, and whether it needs Derek's follow-up, advisor approval, or compliance review; plus anything else he and Rheece should be doing
open — re-raised on Teams 2026-09-06; JT acknowledged and committed in writing to reviewing it 2026-09-07 (target moved from 2026-09-09)
- Jared Thompson2026-09-04
Reimbursement of the margin interest accruing on a ~$98,000 debit balance during the Firm's delay in responding (asked of Jamar and Derek; JT not addressed)
open, no Firm position taken; assess against the complaint definition
- Derek Eichenwald2026-09-03
Resend the Supabase organization invitation (asked four times across two days: 2026-09-03 meeting, Teams 4:28 PM and 7:58 PM; 2026-09-04 8:12 AM)
open at 2026-09-07 — a second link JT sent also expired unopened, so JT offered a fifteen-minute live walkthrough instead of another emailed invite; no reply from Derek in the window
record · Teams · 2026-09-04 · 2026-09-07
- Derek Eichenwald2026-09-04
Reconstruct the complete Zakir fee timeline and answer his four numbered questions (distribution date; per-account fee before and after; 2.00% vs 1.25% difference through the 1.00% effective date; the 1.00% paperwork timeline)
done 2026-09-04 — delivered 2:41 PM with figures, dates, workbook and visual; now waiting on his route decision
- Derek Eichenwald2026-09-04
Think through how a portal "Tax Center" would work: annual tax tables, current year prominent and prior years archived, the annual update path, and how the tax year and last-updated date are shown
open — he called it roadmap, not now; overlaps the open "second tool within a week" commitment
- Chad Burnham2026-09-04
Distribute the Zoom end-user guide to everyone, asked for the same day
largely overtaken 2026-09-08 — Chad sent the settings, portal and voicemail guides to the whole `zoomphone@` list himself on cutover day; confirm with him whether anything further is expected
- Derek Eichenwald2026-09-03
Ascent Group fee history: find the DB-plan decant date, compute the 2% → 1.25% credit for the Zakir reconciliation
done 2026-09-04 — decant 10/18–22/2018, full timeline and scenarios delivered to Derek and Brandon; superseded by the 2026-09-04 reconstruction row above; waiting on the CCO's decision
- Derek Eichenwald2026-09-03
One more portal tool in front of advisors within about a week of the compliance launch
open
- Derek Eichenwald2026-09-03
Simpler client-prep flow for his team (client name in, not a Box folder)
open, JT offered a mechanical build
- Brandon Drespling2026-09-03
A read on the Enkodia pitch deck: idea, numbers, what to say to the sender
open, response drafted through v4
- Tim Gelling2026-09-03
A catch-up call
scheduled — his invite "Tim Gelling Kesii", Google Meet, 2026-09-15 3:00–4:00 PM ET, accepted by JT 2026-09-10
record · calendarCalendar
- Derek Eichenwald2026-09-03
Review his MBTC Dividend Model build once he sends the printed output or the scripts (private GitHub repo or files)
open, waiting on Derek's send
- Derek Eichenwald2026-09-03
Formal complaint log entry and the CCO's direct contact for the Zakirs, as he promised the clients in writing
direct contact done 2026-09-07 — Brandon wrote to Raya and Rob himself, copying JT and Derek; the formal complaint log entry is still open
- Rob and Raya Zakir2026-09-02
Four items through Derek: agreements with fee schedules and amendments; complete fee accounting since 2018 mapped to disclosed terms; written explanation of each discrepancy; reimbursement plan and timeline. Their deadline EOD 2026-09-04; Derek's dates 2026-09-11 (package) and 2026-10-02 (reconciliation)
open — Brandon acknowledged their notice as CCO on 2026-09-07 and promised "an appropriate resolution," but none of the four items has been delivered. 2026-09-11: the package date passed; Brandon emailed that the review is complete and proposed a call instead; no client reply in the window
- Jamar Anderson2026-09-06
Locate the send date of the Zakirs' first 2026 agreement at the lowered 99 bps (JT's ask of him)
done 2026-09-06 — two envelopes found: 4/20/2026 expired unsigned, 6/9/2026 declined by Rob 7/2/2026; PDFs filed in Box under the Zakir client folder in `Docusign History`
- Jamar Anderson2026-09-03
Compliance and operations visibility on Nydia Retirement Solutions' resignation as TPA for three 401(k) plans; 2025 Form 5500 due 2026-10-15 with extension
open — documented 2026-09-08: the official resignation letter arrived by mail with a Form 5558, both filed to the TCM 401(k) plan folder under 2025, hard copies to Derek's desk. Unclear whether Nydia filed the 5558 or merely enclosed it; the replacement-TPA decision is still unowned
- Brandon Drespling2026-06-11
Finish wrapping the Mayer BD Fee Clean Up workbook: the 20 items marked "needs a look" (12 matched, 59 mismatched)
open as of 2026-06-11 (backfill); later status not on file
- Brandon Drespling2026-06-10
Add Brian Stark's two small non-TAMP accounts to the Fiduciary Oversight Report ("tomorrow is fine for those")
open as of 2026-06-10 (backfill); later status not on file
- Brandon Drespling2026-06-08
Brief JT on his client and their website and say who reaches out; JT offered to schedule the call
open as of 2026-06-08 (backfill); only two names typed in reply
I promised them
- Brandon Drespling2026-09-12
Remediate the two in-house file items disclosed in the Kephart solicitor due-diligence submission; they do not reflect on the solicitor but are now named in an archived compliance record
open, no owner or date stated in the submission — needs a target set with him
- Brandon Drespling2026-09-11
Keep the Market & Economic Review deck current in the dated-folder log under his TCM Firm File › Reports & Resources › Market & Economic Review Presentation — deck, PDF and Update Summary per version, root Change Log
open, ongoing; v1 and v2 for 2026-09-11 delivered; he presents Monday 2026-09-14
- Chad Burnham2026-09-08
Flag the duplicate extension 817 (Daniel Mayer and Stephen Murphy) back to Chad
open, target 2026-09-09
- Derek Eichenwald2026-09-07
A fifteen-minute live Supabase walkthrough call — log him in and get him creating, to stop the invite links expiring and to lower the odds of him breaking something
open, waiting on Derek to name a time; target 2026-09-11
- Brandon Drespling2026-09-07
Clean up the Jared Thompson relationship check before it is relied on: JT sent it flagged as a fast 20–30 minute run with the Black Diamond equity bands and other items not right, and told him not to send it anywhere
open, target 2026-09-09
- Jamar Anderson2026-09-05
Answer his documentation-process question and decide with Brandon whether it becomes a firm procedure tied to the complaint log
open, target moved to 2026-09-07 — JT told him on Teams "I will take a look at those tomorrow"
- Jamar Anderson2026-09-06
Review and reply to his Jared Thompson email and his client-complaint documentation email
open, target 2026-09-07 per JT's written commitment
- Derek Eichenwald, Brandon Drespling2026-09-04
Produce whatever supporting detail or views the Zakir client response needs, once Derek picks a route
open, waiting on Derek's decision
- Derek Eichenwald2026-09-03
Update the AI policy section in the training module to the cut-down policy before launch
open
- Derek Eichenwald2026-09-03
Soft-launch the compliance training (forms and approved advertising populated first, then the invite email)
open, target Fri 2026-09-04 or Mon 2026-09-07
- Derek Eichenwald2026-09-03
Formal compliance write-up before any client data goes on the portal
open
- Tim Gelling2026-08-07
Schema walkthrough call whenever useful
open, offered; low priority
- Brandon Drespling2026-09-03
After his review: package the change log and manual, post to the public drive, finish the training modules, notify advisors
open, waiting on his review 2026-09-04 or the weekend
- Brent McGibbon, Christopher Kolker, Mike Knoebel2026-09-02
Daily Options Report by Box link each morning; removal from the distro on request
open, running
- Jamar Anderson2026-09-03
Deeper look at the Zakir fee history with the 2% baseline in mind; reconcile the post-decant rate (1% per JT's note vs 1.25% per Derek in the meeting)
done 2026-09-03 — 2% confirmed on the 2017 MAP, 2.2% on the 2018 Dual MAP; post-decant rate was never changed on paper or in billing
- Derek Eichenwald2026-09-03
Log the Zakir complaint formally and confirm Brandon's direct contact, per Derek's written commitment to the clients
open, target 2026-09-04
- Ryan Cook, Jim Peters2026-06-10
Script to pull the Annual Client Update email attachments into the Compliance folder as a supplement to the standard form
open as of 2026-06-10, promised for one to two weeks out (backfill); later status not on file
Blocked / needs a decision
- Rob and Raya Zakir2026-09-11
The document package Derek promised in writing for 2026-09-11 did not go; the CCO proposed a call instead. Whether it still goes, and on what date, is unstated; the 2026-10-02 reconciliation date still stands
Waiting on Brandon Drespling and Derek Eichenwald
- Chad Burnham2026-09-08
The 877 (8776528607) and office fax line ports — the 877 was cancelled with no stated reason and the fax order came back with an exception; both resubmitted 2026-09-08, Zoom ticket ZPPO0570452 open. The 877 still rings into Voyant. 2026-09-11: one of the two orders (2026090823375823913) confirmed for 2026-09-18 11:30 AM ET; which number is not stated
Waiting on Zoom and the outgoing provider; Derek to check his inbox for Voyant contact
- Chad Burnham2026-09-08
Duplicate extension 817 assigned to both Daniel Mayer and Stephen Murphy in the published firm extension list; Murphy's row highlighted in the original
Waiting on Chad — one of the two has to move
- Jared Thompson2026-09-05
Whether the margin-interest reimbursement demand is a reportable complaint, and whether the Firm pays
Waiting on Brandon as CCO; JT to assess and raise it alongside the Zakir matter — two reimbursement demands inside four days
- Jared Thompson2026-09-01
Derek's written answers on why over $100,000 went to option buybacks without cash to cover it, how the positions outpace a 10.325% borrowing cost, and the exit plan
Waiting on Derek — overdue since 2026-09-01, one promised date already missed
- Derek Eichenwald2026-09-03
Supabase SOC 2 upgrade (about $600/month)
Waiting on Derek's decision after JT sends details
- Brandon Drespling2026-09-03
Zakir credit decision: the signed agreements say 2% / 2.2% / 1% and billing matched them ($0 contract difference); decide whether the Firm extends a credit and on which basis — client's 1% $40,124, Derek's verbal 1.25% $28,497, 0.99% from 4/20/2026 $2,038, 1.00% from 7/1/2026 $1,034. On 2026-09-04 he confirmed the documentation holds and located the exposure in pre-2026 MAP language, but did not make the call. Added 2026-09-06: the 1.00% reduction was sent by DocuSign twice in 2026 and never executed — 4/20/2026 expired unsigned, 6/9/2026 declined by Rob 7/2/2026 — so part of the 133-day delay sits with the client (updated 2026-09-06)
Waiting on Brandon's call as CCO before the 2026-09-11 package. Added 2026-09-07: he wrote to the clients himself that day promising "an appropriate resolution" once the review is complete, so the decision is now backed by a CCO-signed commitment to them. Added 2026-09-11: he told the clients the review is complete and asked for a call; no number on the record, no client reply
record · record · 2026-09-04 · 2026-09-11
- Tim Gelling2026-08-07
Open GitHub repo access to the sandbox
Waiting on Tim's GitHub username; low priority
- Brandon Drespling2026-09-03
Direct CCO contact with the Zakirs and the formal complaint log entry (Derek's written commitment)
Waiting on Brandon — on 2026-09-04 he considered calling and then chose to wait for Derek's response first, so the promise Derek made the clients in writing is still outstanding
- Jamar Anderson2026-09-03
Confirming the 2% fee on paper (MAP or client agreement)
Waiting on done 2026-09-03 — JT located and verified the 2017 MAP at 2% and the 2018 Dual MAP at 2.2% from rendered pages
- Derek Eichenwald, Brandon Drespling2026-09-03
Replacement TPA for three 401(k) plans after Nydia's resignation; 2025 Form 5500 due 2026-10-15
Waiting on Decision on who engages the new firm — still unowned at 2026-09-08 when the formal resignation letter arrived; no successor firm or date named by anyone
- Derek Eichenwald2026-09-03
Whether to add JT to his Claude Team org (needed to share Claude Projects)
Waiting on Derek
Closed
Archived. Nothing is deleted.
- 2026-09-09 → 2026-09-12Brandon Drespling
Due diligence on new solicitor Jessica Kephart (prior licensing, anything else), written as a compliance submission and saved to `Box\Triumph Capital Management\Team\1_COMPLIANCE FOLDER\SOLICITORS\Active Solicitors\Jessica Kephart` — submitted 5:25 PM ET, he approved it 6:23 PM ET, archived as a compliance record; cleared to continue, eleven days inside the 2026-09-23 target
- 2026-09-03 → 2026-09-10Derek Eichenwald
Whether JT takes the Tim Gelling conversation — settled by JT accepting Tim's direct invite for 2026-09-15 3:00 PM ET; Derek did not decide it
record · calendarCalendar
- 2026-09-02 → 2026-09-03Derek Eichenwald
First push of the Portal compliance training to the team, waiting on Derek's decision (approved in the meeting)
- 2026-09-03 → 2026-09-03Brandon Drespling
Locate the PowerPoint auto-deleted from Downloads (recovered from NAS backup)
- 2026-08-07 → 2026-08-07Tim Gelling
Queryable version of the sample account data (sandbox delivered)
- 2026-09-03 → 2026-09-03Derek Eichenwald
Which email to use to share a Claude project (answered: only inside a Claude Team org; his call to add JT)
- 2026-09-02 → 2026-09-03Derek Eichenwald
Walk him through the Compliance Training area and get his rollout decisions (done in the 2026-09-03 weekly)