Data entry services for financial advisors & wealth firms

AssistBPO's data entry services for financial advisors and wealth firms keep household records, beneficiary details, account lists, document indexes and campaign lists accurate in Redtail, Wealthbox or Salesforce and your document management system, with a second-person QA check on every batch.

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This page Financial advisors & wealth firms Data entry services

How does data entry work for advisors?

Advisory data decays quietly: a household adds a child and the CRM does not know, a beneficiary was updated at the custodian but not in the CRM, documents are scanned but never indexed, and a CRM migration three years ago left half the notes in a spreadsheet. Your AssistBPO data specialist works your hours inside your CRM, document system and custodian reports under your information security program, entering and reconciling household and account records, indexing documents by household and type, maintaining seminar and campaign lists, reconciling account lists against custodian data with account numbers masked in the CRM and building the data behind your reviews-held and service reports. Each batch carries a count of records touched and errors caught, and the monthly QA scorecard samples 5 percent. A backup covers leave.

What tasks does data entry cover for financial advisors and wealth firms?

  • Enter and reconcile household, family and contact records in the CRM
  • Reconcile account lists against custodian reports with account numbers masked
  • Update beneficiary and account title records from completed paperwork
  • Index scanned documents by household and type in your document system
  • Migrate notes and histories from spreadsheets or a prior CRM
  • Maintain seminar, referral and campaign lists with consent status
  • Build the data behind reviews-held, service and pipeline reports
  • Run a second-person QA check on every batch before sign-off

The KPI that matters here

Accuracy rate on QA-sampled records and the share of households with complete family, account and beneficiary data in the CRM.

What rules does data entry 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

How is client data protected during entry and migration?

Specialists work inside your CRM, document system and custodian reports on managed devices with MFA, no local storage and monitored access, under the controls in your written information security program. Account numbers are masked in the CRM where your policy requires, nothing is exported to personal drives and files are never emailed. Specialists are employed staff of the group under NDA, and we complete your vendor due-diligence questionnaire before access is granted.

Can the specialist finish a stalled CRM migration?

Yes. We agree the mapping between the old system or spreadsheet and the new CRM, the rules for merging duplicates and which record wins on conflict, then work by batch with a second-person QA check and a weekly progress count. Notes, tasks and document links are migrated with dates preserved. Most firms pair the migration with a standing data routine so the database does not decay again after the project.

Does data entry include document indexing?

Yes. Scanned statements, signed forms, estate documents, tax returns and correspondence are indexed by household, document type and date in your document management system, following your retention schedule and naming convention. The specialist flags documents that appear to be missing for a household, such as an unsigned beneficiary form, so the advisor can request them before the next review.

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