Not sure what task to submit for your ask? See chart below for client servicing and what task type to submit!
CLIENT SERVICE TASKS:
Client service tasks are operational requests handled by the CS team on the advisors behalf:
| Task Type | What it Includes |
|---|---|
| Money Movement — moving cash and/or positions into or out of an account | • ACH / EFT in |
| • ACH / EFT out | |
| • Wire | |
| • Journal | |
| • Check | |
| • Recurring / scheduled transfers | |
| • RMDs & QCDs | |
| Account Maintenance — changes to an existing account | • Beneficiary add / update |
| • Account registration change / rename | |
| • Link a bank account (MoneyLink, standing instructions) | |
| • Add an advisor to an existing account | |
| • Options and margin | |
| • Checkwriting, security freeze, other account features | |
| Open New Account — opening a new account at the custodian | • Opening a new account of any type for Fidelity and Schwab |
| Transfer of Assets — moving an account in from another firm | • Full or partial transfer |
| • Cash or in-kind | |
| • Incoming transfer from an external custodian | |
| Client Info Change at the Custodian — updating the client's personal info | • Legal name change |
| • Address change | |
| • Email / phone update | |
| • SSN correction |
CLIENT TASKS:
Client tasks are requests sent directly to the client to complete (questionnaires, signatures, uploads).
| Task Type | What it Includes |
|---|---|
| Intake — send prospects a questionnaire to collect statements and details | • Initial data-gathering questionnaire for new prospects |
| • Collects account statements, personal details, and financial information | |
| • Best used early in the prospect relationship, before onboarding begins | |
| Account confirmation — obtain necessary information from client before onboarding | • Confirms account details ahead of onboarding |
| • Verifies registration types, account titling, and custodian details | |
| • Ensures everything is accurate before paperwork is generated | |
| Onboarding — send clients the IAA and account opening documents to be signed | • Sends the Investment Advisory Agreement (IAA) |
| • Sends custodian account opening documents for e-signature | |
| • Use once the client is ready to formally become a client | |
| Pre-review check in — collect up-to-date information in prep for a financial review | • Gathers updated financial information before a scheduled review |
| • Captures life changes, goal updates, and outside account balances | |
| • Send ahead of annual or periodic review meetings | |
| File upload — ask a client to upload files to their Box account | • Requests documents like statements, tax returns, trust documents, or IDs |
| • Files go directly into the client's Box account | |
| • Use any time you need documents from the client securely | |
| Risk questionnaire — sends clients a risk assessment questionnaire | • Establishes or refreshes the client's risk tolerance |
| • Used for new clients or when circumstances change | |
| • Results inform portfolio allocation and suitability | |
| Other client task — send clients a custom request not covered by the types above | • Any custom, one-off request to a client |
| • Use when none of the standard task types fit | |
| • Include clear instructions so the client knows what's needed |