Portfolio Risk Dashboard for CPAs
See all your R&D clients at once and where to look first. Clients are ranked by risk, with year-over-year trends, so a firm can focus attention where it is most needed.
The firm's problem
A firm with a handful of R&D clients can keep them in mind. A firm with dozens cannot. Senior time is limited, and the question each season is where to spend it: which claims deserve a careful read, which can be signed with a lighter touch, which clients need a conversation about their records. Without a view across the whole book, those decisions rest on memory and instinct. The portfolio risk dashboard gives the firm a way to see, and to prioritize.
How it works
- 1
Add clients
Claims across your clients are loaded, from the sources the firm uses.
- 2
Rank
They are sorted by risk score, with the main drivers for each shown.
- 3
Track
Trends show whether risk is rising or falling, year over year.
- 4
Act
The firm assigns reviewers and follows up with clients where scores point to a problem.
What a firm can see
Views are examples. Which are available is confirmed by Swanson Reed.
| View | What it shows | Why it helps |
|---|---|---|
| Ranked list | Clients ordered by risk score | Decide where senior time goes first |
| Drivers | The factors behind each score | Know what kind of conversation to have |
| Year-over-year trend | Whether risk is rising or falling | Spot clients whose records are slipping |
| Filters | By reviewer, status or size | Manage workload across the team |
What you get
- A single view across the client base.
- Year-over-year trends.
- A basis for deciding where to spend review time.
- Evidence of the firm's quality-control process, for its own records.
A worked example (illustrative)
This scenario is invented. A firm opens the dashboard in early spring. Of thirty clients, most are low or medium, six are high and two show a rising trend. The partner asks a manager to look at the six first, and to call the two whose scores rose, to find out what changed. One had a new contractor who is not documented; the other changed its project tracker and lost links to its records. Both are fixed within a week. When the season ends, the firm has a record of which claims were reviewed in depth, and why.
Using it in practice
Agree a routine. A monthly look at the dashboard during the year, and a weekly one in the weeks before filing, is a good habit to discuss. Assign someone to own it. Decide in advance what score or trend triggers a closer review, so the dashboard produces decisions, not just information. And be careful how you describe the results to clients: a ranking is an internal tool, not a statement about a client's honesty.
Limits
A dashboard shows what is loaded. Clients whose records are not connected will look better or worse than they are, depending on what is missing. The ranking is relative, so a firm with strong claims will still see a top and a bottom. It is not tax or legal advice, and it does not predict which claims will be examined. A mock audit does not guarantee acceptance of a claim or predict whether it will be examined.
A mock audit does not guarantee acceptance of a claim or predict whether it will be examined. Integrations, review tiers and partner pricing are proposals until confirmed by Swanson Reed.
Questions a managing partner can ask of the dashboard
- Which five claims need the most attention before filing?
- Which clients have worsened since last year, and why?
- Are weak spots concentrated in a few areas, such as time records?
- Is reviewer workload balanced, or is one person carrying the risky ones?
- Which clients could move to a lighter review next year?
From dashboard to practice improvement
Over several seasons, the dashboard becomes a record of the firm's own performance. If the same issues recur across clients, the firm can change what it asks clients to do, for example by introducing documentation earlier. If scores improve year on year, that shows the work is paying off. A firm can use this to refine its offering and its fees, and to explain to clients why it asks for what it asks for. The dashboard is not only a way to find weak claims. It is a way to learn.
Privacy and access
A dashboard that spans clients holds a lot of information in one place. Access should be limited by role, so staff see the clients and details they need. Agree how long data is kept, who may export it and what happens when a client leaves. These matters are confirmed with Swanson Reed and agreed in writing, and clients should be told how their information is used.
Starting with a small group
If you manage many clients, you do not need to load them all on day one. Start with a group of ten or so, representing a range of sizes and quality of records. Learn how the ranking behaves, which drivers recur and what kinds of conversation follow. Then add the rest. This approach lets the team build habits, such as when to review and who follows up, before the volume is large. It also gives you real examples to show colleagues who are new to the tool.
Signs the dashboard is being used well
- The team looks at it on a regular schedule.
- High-risk claims get a named reviewer and a plan.
- Rising trends prompt a conversation with the client.
- Fixes show up as improved scores in the next review.
Dashboard questions
How many clients can it hold?
Confirm limits with Swanson Reed. We do not state them on this site.
Can staff see only their own clients?
That is the intention, through roles in the partner console. Details are confirmed with Swanson Reed.
Can I show it to clients?
That is your decision. Think about how you describe scores, so they are not mistaken for promises.
Does it replace review?
No. It helps decide where to review. A licensed professional still reviews each claim.
Keep exploring
R&D Claim Health Check
A one-off mock audit of a single R&D claim, so you can test it before you file.
Learn moreR&D Audit Risk Scoring
A score that shows where an R&D claim is exposed, and why, so fixes can be prioritized.
Learn moreDocumentation Gap Finder
Find the holes in R&D evidence, by project and by dollar, while there is still time to fill them.
Learn moreAudit Response Assistant
If an examiner asks, find the evidence quickly and draft a clear answer for a person to review.
Learn morePlease note: Estimates and drafts are prepared by software for review by a licensed CPA or enrolled agent. This is not tax advice.
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