After hours answering service for financial advisors & wealth firms

AssistBPO's after hours answering service for financial advisors and wealth firms answers the client line in your firm's name after close, on weekends and on holidays, with the recording notice, the verification script and the routing rules your compliance officer set, so a client calling on a Sunday evening after a market headline reaches a calm person instead of voicemail.

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This page Financial advisors & wealth firms After hours answering service

How does after-hours answering work for advisors?

The calls that arrive after hours at an advisory firm are rarely routine: a client worried about a market drop, a family member reporting a death, a suspected fraud on an account, a question about a wire the client needs to send Monday morning. AssistBPO's after-hours desk is staffed from our two offices. The receptionist verifies the caller, never discusses account details, follows your escalation tree to phone the on-call advisor for genuine urgencies, logs everything as a CRM note through your systems and takes a structured message with a callback time for everything else. Every overnight call appears in a report at opening. No advice is ever given, and no instruction is ever taken.

What tasks does after-hours answering cover for financial advisors and wealth firms?

  • Answer the client line after hours in your firm's name with the recording notice
  • Verify callers by your script before any household lookup
  • Phone the on-call advisor for urgencies defined in your escalation tree
  • Handle death-in-the-family and fraud calls by your protocol with care
  • Log every call as a CRM note and take structured messages with callback times
  • Route money movement and instruction requests to the next business day verification
  • Cover weekends, holidays and market-event evenings
  • Deliver a morning report of every call, message and escalation

The KPI that matters here

Answer rate after hours and minutes from an urgent client call to the on-call advisor picking up. Everything else is measured by callbacks completed by the promised time the next day.

What rules does after-hours answering follow for advisors?

  1. GLBA Safeguards Rule and Regulation S-P. Client nonpublic personal information is handled under your written information security program: least-privilege access, MFA, managed devices, no local storage and no data outside your systems, consistent with the FTC's Safeguards Rule (16 CFR Part 314) and the SEC's Regulation S-P for registered advisers.
  2. No licensed advice, no money movement. Assistants never give investment, tax or insurance advice, quote performance, recommend products or execute transactions. Money movement requests are captured and routed to licensed staff for verification under your policy and the rules of the SEC, FINRA and your state regulator.
  3. Books and records and supervision. Every client email, text and call runs through your archived and supervised channels, consistent with Advisers Act Rule 204-2 and FINRA Rules 3110 and 4511. Assistants never contact clients from personal phones or unarchived apps.
  4. Recording notices and the Marketing Rule. Calls carry a recording notice in two-party consent states such as California and Florida. Social posts, testimonials and seminar materials go through your compliance pre-approval under the SEC Marketing Rule (206(4)-1) and FINRA Rule 2210.

Advisors software we work in

Also in use

  • Redtail CRM
  • Wealthbox
  • DocuSign

See all 80 tools we work in

More for financial advisors and wealth firms

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After-hours answering in other industries

Frequently asked questions

What can the after-hours receptionist do for a worried client during a market drop?

Listen, reassure them that their advisor will call back, and log the call. The receptionist never comments on markets, accounts or what the client should do. If the caller meets your escalation criteria, such as a request to sell everything or signs of distress, the on-call advisor is phoned immediately. Otherwise a callback is scheduled for the next business morning at the top of the advisor's list. Clients hear a calm person, not a recording.

How are fraud or account compromise calls handled overnight?

By your protocol. The receptionist takes the details, tells the client not to act on any instruction received by email or phone that evening, and phones the on-call advisor or operations lead immediately, escalating to the next contact if there is no answer. No account information is confirmed to the caller and no instruction is taken. The call is logged with times so the firm has a record for the custodian and your compliance officer.

Which hours and markets does the after-hours desk cover?

Close of business to opening, weekends and public holidays, for US, UK, Canadian and Australian firms, staffed from our two offices so an evening in Boston or an early morning in Sydney is a normal shift for the person answering. The desk is an add-on to a daytime receptionist or a standalone service. Plans depend on hours, desks and coverage. Get a staffing plan within 1 business day.

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