Turning a meeting into records and tasks
Writing the meeting into the relationship system and creating the follow-up tasks, with the retention obligation respected from the outset rather than bolted on. Anything that reaches the client for advice still goes through the adviser.
The account application comes back not in good order because of a missing initial, and the whole signature cycle runs again.
The custodian holds the assets and is the record. The advisory firm runs a relationship system alongside it, plus a portfolio and reporting system, plus a planning tool, and the same client identity is entered into each because there is no shared key between them.
- Wealthbox
- Redtail
- Smarsh
When this is the wrong thing to build
Pick something else if your archiving arrangement does not cover the channel the notes would live in. Sort the retention path first.
The constraint that shapes it
Books and records rules require preservation of communications relating to advice and recommendations, and to the movement of funds, in an accessible place, for a defined period with the earliest portion held locally. More on how this sector works.
A deadline arrives. The bundle builds itself from what is already there. Read what this shape is, or start from one of these.
- Building a commission disbursement authorization at closing
- Drafting a seller net sheet from a payoff statement
- Building a demand package the adjuster can actually open
- Filling a mandatory form set from the matter record
- Drafting the disbursement statement behind a settlement payment
- Getting the job photos onto the invoice before it sends
- How do I get meeting notes into Wealthbox without retyping them?
- Are notes generated during a client meeting a record I must keep?
- How do I create follow up tasks straight from a client meeting?
- Should a client meeting note be archived as a business record?
Back to wealth management, or see how this is priced and scoped.