Sales Automation for Wealth Management That Handles Onboarding and Reviews, Not Advice

A prospective client agrees to move a portfolio across. The first meeting went well, the paperwork was emailed the same evening as a list of nine items, and seven of them came back within a fortnight. The other two did not.

Nobody chased, because chasing felt small and the adviser was busy with existing clients. Five weeks later the client had not moved anything, the enthusiasm had cooled, and a bank relationship manager had made a competing offer. The relationship was lost to an unsent reminder about a nominee form.

Document collection first, restructured as a queue rather than a checklist. One named item, a two-day wait, a repeat for the same item, then the next. Risk profiling completion sits alongside it, because a proposal built before the questionnaire is finished creates problems in both directions.

Then review meeting scheduling on a cadence per segment. Then mandate registration follow-up from the date an instruction was agreed. Then maturity and renewal prompts from date fields, dormancy re-engagement after a set period of no contact, and referral acknowledgement the day a source is recorded.

The triggers are ordinary. A stage change starts onboarding. A date field drives maturity prompts and review cadence. An absence of activity drives re-engagement. What is different in this industry is the output. For most segments the step sends an approved template. For significant relationships the identical trigger raises an adviser task instead, so the client hears only from a person.

Every sequence stops on a reply, a booked meeting, a received document or a manual pause. Quiet hours prevent evening sends. The template library is the real control: nothing goes out that has not been approved, which is the difference between automation that reduces compliance risk and automation that manufactures it.

Build the document collection queue and the review scheduling cadence in the first fortnight. The first shortens onboarding immediately, and the second fixes the pattern where quiet clients are never seen. Add mandate chasing next, then maturity prompts once date fields are populated, then dormancy re-engagement.

Keep every advisory conversation manual. No automated message should mention returns, performance, market conditions or a product recommendation. Complaints, portfolio concerns and anything triggered by a market fall need a person on the phone the same day. The automation exists to make the administration reliable so advisers have more hours for the conversations that actually require judgement.

Onboarding days from first meeting to funded, split by which document caused the delay. Review meeting completion rate by segment, which is the best available proxy for retention. Mandate registration rate, since agreed instructions that never register are pure leakage. Re-engagement outcomes on dormant relationships. And the proportion of client communication that happened on business channels rather than personal phones.

This is not a portfolio management, execution or reporting platform, and it does not calculate anything about investments. It manages the relationship layer: the document that has not arrived, the review that was never booked, the mandate that was never registered, the client nobody has spoken to since last year. Used inside an approved template library, it reduces compliance exposure rather than adding to it.

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