Client intake services for financial advisors & wealth firms

AssistBPO's client intake services for financial advisors and wealth firms run new-client onboarding from the discovery meeting to a funded account. The questionnaire sent and chased, statements and documents collected securely, account opening and transfer forms pre-filled for the advisor's review, DocuSign envelopes tracked, transfers monitored at the custodian and the welcome sequence delivered on schedule.

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This page Financial advisors & wealth firms Client intake services for small business

How does client intake work for advisors?

Onboarding is a new client's first experience of the firm, and when it drags for 6 weeks because a form came back NIGO twice, the relationship starts on the wrong foot. Your AssistBPO intake specialist works your hours inside Redtail, Wealthbox or Salesforce, DocuSign, your secure document portal and the custodian's portal, following your onboarding workflow step by step, keeping the client informed through archived channels, chasing missing items on day 1, 3 and 7 and handing the advisor a complete file before the plan presentation. The same desk qualifies inbound prospect inquiries with your questions and books discovery meetings. Nothing is advised, nothing is executed; everything is prepared, tracked and reported.

What tasks does client intake cover for financial advisors and wealth firms?

  • Send and chase the discovery questionnaire and document checklist
  • Collect statements, tax returns and estate documents through your secure portal
  • Pre-fill account opening and transfer forms for the advisor's review
  • Build and track DocuSign envelopes and chase unsigned documents
  • Monitor transfers at the custodian and resolve NIGO items with the client
  • Deliver the welcome sequence and set the first review date in the CRM
  • Qualify inbound prospect inquiries and book discovery meetings
  • Report weekly on onboardings in progress, days open and blockers

The KPI that matters here

Days from signed agreement to funded account and the NIGO rate on onboarding paperwork. Both fall when forms are pre-filled from a complete questionnaire.

What rules does client intake 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

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Frequently asked questions

What does a new-client intake checklist include?

Household and family details, identification for account opening, employment and income sources, existing account statements, tax returns, insurance policies, estate documents such as wills and trusts, beneficiary information, risk questionnaire responses if your firm uses one and the client's communication preferences. The specialist sends the checklist in your order, collects everything through your secure portal and records what is received and outstanding in the CRM.

How are documents collected securely?

Through your secure client portal or encrypted upload link, never by plain email attachment. The specialist sends step-by-step instructions, checks each upload is complete and legible, indexes it in your document system by household and type and records receipt in the CRM. Sensitive identifiers are handled under your information security program on managed devices with no local storage. Clients who prefer paper are directed to the office or a secure mail process you define.

Does the specialist prepare account paperwork without licensed staff?

The specialist pre-fills forms from CRM and questionnaire data and assembles the DocuSign envelope; the advisor or an authorized team member reviews and approves before anything is sent to the client or the custodian. Account type, registration, investment selections and any instruction remain the licensed team's decisions. The specialist tracks signatures, submits the approved package through your process and chases NIGO corrections. The division of labor is written into your onboarding workflow.

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