Virtual assistant services for financial advisors & wealth firms

AssistBPO's virtual assistant services for financial advisors and wealth firms give each advisor a named client service administrator who prepares paperwork, chases NIGO items, tracks transfers with the custodian, logs service requests, preps meetings and keeps Redtail, Wealthbox or Salesforce current, without ever touching advice or money movement.

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This page Financial advisors & wealth firms Virtual assistant services

How does a virtual assistant work for advisors?

Advisors are licensed to advise and paid to build relationships, yet a typical week loses 8 to 12 hours to forms, follow-ups and CRM entries that need care but not a license. Your AssistBPO assistant works your hours inside your CRM, DocuSign, your custodian portals and your archived email and phone systems, under the access controls in your written information security program. The day starts with the open-items list per advisor and ends with a report of paperwork sent, NIGOs resolved, transfers moved and requests waiting on a licensed decision. Because the assistant is employed staff of the group and stays on your households, they learn each client's preferences, family structure and the way each advisor likes a meeting pack built.

What tasks does a virtual assistant cover for financial advisors and wealth firms?

  • Pre-fill account opening, transfer and update forms from CRM data and build DocuSign envelopes
  • Chase NIGO items with clients and the custodian until the account is in good order
  • Track transfers and service tickets in the custodian portal and keep clients informed
  • Log service requests in the CRM and route anything requiring licensed staff
  • Assemble meeting agendas and document packs the evening before
  • Enter meeting notes and action items into the CRM the same day
  • Draft follow-up letters and seasonal touches from compliance-approved templates
  • Send each advisor a daily open-items report

The KPI that matters here

Advisor hours returned to client conversations each week, measured by service and paperwork tasks moved off each desk, with the NIGO rate as the quality check on that work.

What rules does a virtual assistant 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 does the assistant avoid crossing the line into advice?

With a written scope and a script. The assistant handles service, paperwork, scheduling and records; anything about performance, allocations, products, taxes, withdrawals or whether to do something is acknowledged, logged in the CRM and routed to the advisor with a same-day callback promise. The scope is agreed with your compliance officer during onboarding and reviewed in the weekly review. The monthly QA scorecard checks calls and emails against it.

Can the assistant work in our custodian's portal?

Yes, with the role your operations lead assigns, which is usually view and service-ticket access rather than transaction authority. The assistant checks transfer and paperwork status, opens service tickets for stalled items and records the outcome in your CRM. Any function that moves money or changes account instructions stays with your licensed or authorized staff. Access is logged and removed the same day a desk changes.

How is the assistant introduced to our clients?

However your firm prefers. Most firms introduce the assistant by name in a welcome or update letter as a member of the client service team, with an email address on your domain and your phone number. Clients then receive paperwork, reminders and confirmations from a person they can call back. The same assistant works your households every day, so a client who calls about a form speaks to someone who already knows it.

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Next step

Your desk, staffed. Wherever you are.

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  • A named assistant proposed within 72 hours
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  • Your hours, your tools, your data
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