Client expectations for digital experience are rising. This checklist covers every system a modern advisory practice needs to deliver exceptional service at scale.
CRM and Client Management
- Financial services CRM (Salesforce, Redtail, Wealthbox)
- Client household and relationship mapping
- Activity tracking and follow-up reminders
- Pipeline management for prospects
- Integration with custodian data
Portfolio Management
- Portfolio management and rebalancing tools
- Model portfolio implementation
- Performance reporting (GIPS-compliant where applicable)
- Tax-loss harvesting tools
- Risk analysis and scoring
Financial Planning
- Comprehensive financial planning software
- Retirement projection modeling
- Estate planning tools
- Tax planning integration
- Scenario analysis capabilities
Client Portal
- Secure client portal with account aggregation
- Document vault for statements and tax docs
- Secure messaging
- Performance dashboards
- Meeting scheduling
Client Communication
- Compliant email marketing
- Market commentary distribution
- Client newsletter (with compliance review)
- Video communication tools
- Meeting recording and documentation
Compliance
- Archiving for email and messaging
- Advertising review and approval workflows
- Trading compliance monitoring
- Personal trading pre-clearance
- Regulatory filing management
Operations
- Account opening and transfer automation
- Custodian integration
- Fee billing automation
- Document management and e-signature
- Workflow automation for service requests
Website and Marketing
- Modern website with compliance approval
- Content marketing (blog, guides)
- SEO for financial planning searches
- Seminar and webinar registration
- Google Business Profile management
Reporting
- AUM and revenue dashboards
- Client retention metrics
- Advisor productivity analysis
- Fee revenue by client segment
- Practice growth metrics
Next Steps
CRM and financial planning software are the core. Build the client portal next for retention.
Ready to digitally transform your advisory practice? Contact us to plan your technology roadmap.