New Client Onboarding
- 1Client signs engagement letter
- 2Secure portal access is automatically granted
- 3Digital fact-finding questionnaire is sent
- 4Advisor notified when all documents are uploaded
Systems for Financial Planners
Client Management Systems for Financial Advisors
Financial advisors make money through asset management fees and comprehensive planning services. Revenue leaks occur when prospect follow-up stalls, annual reviews go unscheduled, and administrative tasks delay the delivery of financial plans.
Accounting, Finance & Insurance
- Discovery Call Booking
- Secure Document Portals
- Annual Review Triggers
- AI Receptionist
- Fact-Finding Workflows
Also for: Financial Planners
How the business actually works
How the work flows, start to finish.
- 01
Prospecting
Interested individuals inquire through educational resources or referral links.
- 02
Discovery
The advisor conducts an initial consultation to assess financial goals and risk tolerance.
- 03
Fact Finding
Collection of statements, tax returns, and beneficiary information through secure portals.
- 04
Plan Delivery
The advisor presents the strategy and secures signatures on the investment policy statement.
- 05
Implementation
Accounts are opened and assets are transferred to the custodian for management.
- 06
Active Monitoring
Continuous portfolio oversight and periodic rebalancing to maintain target allocations.
- 07
Annual Review
Formal recurring meetings to update the client's financial roadmap and life changes.
- 08
Legacy Planning
Coordinating with beneficiaries and estate professionals to manage long-term wealth transfer.
Where it leaks
Common problems for financial advisors.
01
Review Fatigue
Manually tracking when every client is due for their annual or quarterly review often leads to missed appointments. This lack of contact reduces client retention and limits opportunities for additional contributions.
02
Onboarding Friction
The time between a verbal agreement and a funded account is filled with paperwork and document collection. Delays in gathering statements or signed disclosures can stall the entire advisory relationship.
03
Lead Leakage
Referrals and inquiries often arrive after hours or during market volatility when the advisor is busy. If these prospects are not engaged immediately, they seek guidance from competing firms.
04
Document Collection
Chasing clients for tax returns, insurance policies, and estate documents consumes hours of administrative time. Secure file sharing is often fragmented across multiple email threads and storage tools.
05
Compliance Gaps
Failing to document every client interaction or missing regular disclosures creates significant regulatory risk. Keeping a clean paper trail of all communications is essential for audit readiness.
What LATTICE can build
Systems built around how you work.
Discovery Call Booking
Automated scheduling tools allow prospects to book discovery calls directly into the advisor's calendar based on pre-set availability.
Secure Document Portals
Branded portals give clients a single location to upload sensitive financial statements and download quarterly reports.
Annual Review Triggers
The system automatically alerts the team and invites the client to schedule their review meeting exactly eleven months after their last session.
AI Receptionist
A 24 hour chat and phone system answers common questions about firm services and captures lead information during market events.
Fact-Finding Workflows
Automated email sequences guide new clients through the specific data points needed to build their initial financial plan.
Referral Reactivation
Send automated, personalized check-ins to prospects who expressed interest but never completed their initial discovery session.
Compliance Logging
Every text message, email, and portal interaction is automatically logged in a centralized client record for easy retrieval.
E-Signature Follow-Up
Automated reminders send gentle prompts to clients who have pending advisory agreements or disclosure forms awaiting signatures.
Example systems
What it looks like in practice.
Annual Review Cycle
- 1Review date approaches in CRM
- 2Automated invitation sent with booking link
- 3Meeting confirmed and pre-review agenda shared
- 4Summary notes sent to client via portal post-meeting
Prospect Nurture
- 1Inquiry received from website
- 2Automated text confirms receipt of message
- 3Educational video on firm philosophy sent via email
- 4Discovery call booked and calendar synced
Have a different problem?
Tell us what's slowing the business down. LATTICE can build around the way your business operates.
Questions from financial advisors
How does this handle the privacy of sensitive financial data?
The system uses secure client portals and encrypted communication channels to ensure that statements, tax documents, and personal identifiers are handled with the highest level of security. Access is restricted to authorized firm personnel and the specific client.
Can we automate the scheduling of our quarterly market updates?
Yes. You can create workflows that invite your entire client base to register for webinars or schedule one-on-one sessions during specific windows of time, reducing the back and forth of coordination.
How does the system help with meeting preparation?
Automated workflows can send pre-meeting surveys to clients to ask if any life events like marriage, job changes, or inheritance have occurred, ensuring you have the right data before the meeting starts.
Will this help me manage my referral pipeline?
The CRM tracks the source of every lead, allowing you to see which professional partners or existing clients are providing the most referrals. Automated thank-you notes can also be triggered when a referral is logged.
Can it help with gathering signatures on investment policy statements?
The system integrates document tracking and automated reminders to ensure that all required disclosures and agreements are signed and filed promptly, keeping your practice compliant.