Advisor SOPs
- Client Onboarding & Servicing
Manage the complete client journey—from initial paperwork to account setup, ongoing service, and termination workflows.
- Pending Client Documentation
- Active Client Onboarding
- Client Binders
- Ongoing Client Service Requests
- Client Offboarding
- Compliance & Documentation
Follow firm and regulatory standards for documentation, recordkeeping, and periodic reviews.
- Form ADV Update Checklist
- Annual Compliance Review Process
- Document Archiving Protocol
- Disclosure Delivery Process
- Client File Audits
- Operational Processes
Standardize internal procedures that keep the business running smoothly and reduce risk.
- Scheduling Client Reviews
- Internal Team Huddles
- Vendor Review Process
- Mail Handling & Scanning
- Client Communication Logs
- Technology & Systems
Get guidance on the tools, platforms, and digital systems used across the firm.
- Redtail Basics
- ShareFile Folder Setup
- Using Firelight for Applications
- Workflow Automation Setup
- Secure Email Process
- Team & HR Operations
Support internal team workflows like onboarding, training, and performance management.
- New Hire Onboarding Checklist
- Employee Review Process
- Performance Tracking Workflow
- Time Off Requests
- Marketing & Business Development
Access repeatable systems for lead generation, outreach, and brand promotion.
- New Lead Entry & Assignment
- Email Marketing
- Event Setup & Promotion
- Referral Tracking Process
- Financial & Billing Processes
Ensure consistent procedures for billing, compensation tracking, and financial reporting.
- Monthly Billing Process
- Compensation Tracking
- Expense Reimbursement Workflow
- Fee Schedule Updates
Need Help?
If you have a question or something’s not quite clear, don’t hesitate to reach out. We’re always happy to help.