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Operating system purpose built for advisory firms
Select how we can help you get started through our solutions designed for remarkable efficiency and scalability.
Team Accountability
Experience intuitive task routing, gain visibility into team capacity and efficiency.
Client Onboarding
Monitor onboarding status and deliver a consistent client experience.
Client Reviews
Migrate from spreadsheet chaos to seamless client meetings and followup tracking.
Tax Prep & Filing
Navigate busy seasons with ease, using dashboards for clear communication and visibility.
Financial Planning
Streamline multi-office communication among your financial planning team.
Money Movement
Navigate custodian paperwork, eliminate NIGO's, and manage assets.
Employee Onboarding
Save time and crucial human resources when bringing new employees up to speed.
Process vs. Workflow
A process is a series of steps or actions designed to achieve a particular outcome, while a workflow is the orchestrated flow of tasks in a specific sequence within a larger process.
What is a Process?
A process is a systematic series of actions or steps designed to achieve a particular outcome or goal. It provides a high-level overview of the entire journey from start to finish. Think of it as the blueprint or roadmap guiding a set of activities towards a specific result. Processes can be simple or complex, depending on the nature of the desired outcome.
What is a Workflow?
A workflow is the detailed, step-by-step execution of a specific part of a process. It's the hands-on, nitty-gritty part of the operation that ensures each task is carried out correctly and efficiently. Workflows can be both manual and automated, depending on the nature of the tasks involved.
10 Complex Process Templates
A complex process involves multiple interrelated tasks that may require different workflows working in tandem. These might have decision points, parallel branches, or feedback loops, making them more intricate to manage.
New Client Onboarding Process
Description: Process templates for your new clients that follows a prospect to becoming a client including referrals, meetings, planning, and onboarding.
Workflows: Lead/Prospect -> Introductory Call -> Goals Meeting -> Data Gathering -> Signing -> Billing
Client Review Process
Description: Process template to plan your process to schedule, prep, and follow-up on recurring client review meetings.
Workflows: Client Review Scheduling -> Client Review Preparation -> Client Review Meeting -> Client Review Follow Up
Financial Planning
Description: Process template for delivering comprehensive financial planning.
Workflows: Data Gathering -> Agreement & Invoice -> Input & Review -> Plan Delivery
Tax Prep & Filing
Description: Process template that addresses routine client tax filing planning.
Workflows: Document Gathering -> Prepare Return -> Review Return -> Tax Return Filing -> Extension Review Return
Trading Process
Description: Process template related to trades needed.
Workflows: Trades Needed -> Dollar Cost Average Trades -> Rebalance Portfolio -> Update Model
Life Insurance Analysis Process
Description: Process template facilitating your insurance business - from analysis to app to annual reviews.
Workflows: Life Insurance Analysis -> Life Insurance Application -> Life Insurance Underwriting -> Life Insurance Approval -> Life Insurance Delivery -> Life Insurance Review
Annuity Process
Description: Process template to address routine annuity business operations.
Workflows: New Quote Request -> New Policy Application -> Trade Request
Prospect Process
Description: Process template for prospects that includes your steps that occur before moving forward with your new client onboarding process.
Workflows: Initial Contact -> Intro Meeting -> Follow-Up Drip Campaign
Client Termination Process
Description: Process template that addresses routine client termination and outbound transfers.
Workflows: Client Termination -> Outgoing Asset Transfer -> Outgoing Asset Transfer Follow Up
Hiring/New Hire Onboarding Process
Description: Process template for hiring and onboarding new employees.
Workflows: Job Description & Posting -> Candidate Identified -> Employment Offer -> Internal Prep -> Onboarding Week 1 -> Onboarding Week 2
6 Simple Process Categories
Simple processes typically have a straightforward, linear flow and can be accomplished with a single workflow. Each step follows the other in a clear sequence.
Money Movement
Description: Workflow templates for account establishment, transfers and other money movement processes.
Workflows: New Account Opening Paperwork, Account Transfer, 401k Rollover, ACH Standing Instructions, Incoming Assets, IRA Contribution, Withdrawals/Distributions, Raise Cash, Trades Needed, Roth Conversions, Backdoor Roth IRA, Dollar Cost Average Trades, Rebalance Portfolio, Tax Loss Harvesting, 529 Account Opening
Client Service
Description: Workflow templates that address routine client service items as well as age/milestone planning opportunities.
Workflows: Birthday, New Child, Personal Info/Address Change, Client Anniversary, Referral Ask, Update Beneficiaries, Client Termination, Death of a Client, Holiday Cards/Gifts
Topic Specific Planning Analysis
Description: Workflow templates that address topic specific planning analyses and reviews.
Workflows: Investment Analysis, Risk Analysis, Retirement Analysis, Tax Projection & Planning, Debt Review, Student Loans Analysis, Real Estate Purchase, Real Estate Sale, Divorce Planning, Risk Tolerance Review, RSU Vesting
Age-Based Milestones
Description: Workflows that address routine client service age/milestone planning opportunities.
Workflows: Catch Up Contribution, HSA Contribution Catch Up, RMDs, Medicare Filing, Social Security Review, QCD Eligibility
Compliance Requirements
Description: Workflow templates for common compliance requirements.
Workflows: Monthly Tasks, Quarterly Tasks, Annual Registration Renewal, Annual Client Delivery, ADV Annual Filings, Review Internal Policies, State RIA Compliance Calendar
Marketing & Events
Description: Workflow templates for firm marketing, client outreach and event planning.
Workflows: Annual Website Updates, Quarterly Newsletter, Social Media Planning, Holiday Posts, Holiday Cards, Webinar Planning, Event Planning