TOOLBOX
INTERNAL USE ONLY
Use the links provided below to access Platforms and Process for JB Wealth Onboarding and Services
IMPORTANT: DO NOT, send this page to a prospect or client.
SALES
0 >> Sales Starter Resources
1 >> Schedule Intro / Q-Call [IAR]
Platform → CRM > Phone
People → Setter and Client/Prospect
Tools → CRM Calendar of Investment Adviser
Process:
- Email intro sent by Client Service Team
- Outbound Call to Schedule by Setter
Script: “Hi my name is , I work with your Investment Advisor Mike Milligan. He has some exciting updates to share with you and asked that I reach out to get a 15 minute call scheduled with you and Mike for 15 minutes so you guys can connect”
“Is now a good time to get your call with Mike scheduled?”
2 >> Intro / Q-Call [IAR]
Platform → CRM > Phone
People → Investment Adviser and Client/Prospect
Tools:
Client Intake Form [Internal Only]
Secure File Upload [Client Tool]
Process:
- Run Q-Call
- CUSTODIAN INTAKE: Collect and Submit Custodian Information via Custodian Intake Form (linked above)
- STATEMENT REQUEST: Request Statements and Share Secure File Upload link for submission (linked above)
3a >> Investor Assessment [IAR>CSS]
Platform → DocuSign
People → Investment Advisor x Client Service x Client/Prospect
Tools → DocuSign [Client Tool]
Process:
Contingent on completion of basic prospect information in the CRM which can be created manually or by submitting basic information with Client Intake Form
- Make sure basic prospect info is in the CRM and that an opportunity exist in the Pipeline 1a - Sales
- Once the client info is up-to-date, move the opportunity into the the stage Req. InvestAssess
- This will notify the Client Service team that you need an Investor Assessment and they will send one out to the prospective client via DocuSign
- You and the Client will be notified once the DocuSign is sent and completed
3b >> Client Statements [IAR]
Platform → CRM > Form
People → Investment Adviser and Client/Prospect
Tools: → Secure File Upload [Client Tool]
Process:
- STATEMENT REQUEST: Request Statements and Share Secure File Upload link for submission (linked above)
4 >> Investment Strategy (Development) [IAR]
Platform → Advisor Squared
People → Investment Adviser and Investment Management Team (Advisory Alpha)
Tools → Advisor Squared [Internal Tool]
Process:
Contingent on receiving an Investor Assessment and recent Investment Account Statements from client
- Based on Assets, Advisory Fee, and Investor Assessment
- Work with Investment Manager (Advisory Alpha) to develop an Investment Strategy and propose a model Portfolio
- (if applicable) review internally with Investment Advisor team
5 >> Investment Proposal Call [IAR]
Platform → Zoom (as booked via CRM Calendar)
People → Investment Advisor and Prospect/Client
Tools → CRM Calendar, Zoom Meeting, Proposal as generated by Investment Manager via Advisors Squared
Process:
Contingent on receiving an Investor Assessment and recent Investment Account Statements from client
- Run Solution Call
- Review Investment Proposal
- Client Decision (Y/N)
- (if applicable) make sure you have all info needed to fill out client intake form
ONBOARDING
A >> Client Intake [IAR]
Platform → CRM > Form
People → Investment Advisor
Tools → Client Intake Form [Internal Only]
Process:
Submit IF you haven't yet submitted this form at all OR IF, new information is available
- Collect and Submit New Client Information via Client Intake Form (linked above)
- Important Info to Submit (needed for onboarding by Client Service Team):
*Investment Advisor
*Custodian
*Fidelity Account Type
*Investment Model Selection
*Client Intake Notes
*Funding Info (relevant to the funding types of the client)
B >> Client Handoff [IAR>CSS]
Platform → Email > Template
People → Investment Advisor x Client x Client Service Specialist
Tools → Client Handoff Email Template [Internal Only]
Process:
Client Intake Form must be submitted prior to sending Client Handoff Email
- Send email template to client to introduce Client to Client Service Team and to kick onboarding process
1 >> Custodian [CSS]
Platform → Fidelity
People → Client Service Specialist or Investment Adviser and Client
Tools → Wealthscape by Fidelity [Internal Tool]
Process:
Contingent on completion and submission of Custodian Intake Form
- Create New Or Transfer Account
- Fund Account
2 >> Client Agreements [CSS>IAR]
Platform → DocuSign
People → Client Service Specialist and/or Investment Adviser and Client
Tools → DocuSign [Client Tool]
Process:
Contingent on Custodian Onboarding started (can be initiated pending transfer)
- Determine Custodian and application of DOL form
- Choose appropriate template
- Send appropriate Client Agreement template
3 >> New Business Submission
Platform →Advisor Squared
People → Investment Adviser or Client Service Specialist
Tools → Advisor Squared [Internal Tool]
Process:
Contingent on (i) Investor Assessment completed; (ii) client statements received (if applicable); (iii) proposal review with client; (iv) client agreement to strategy, (v) client agreement signed by IAR and client
- Submit all required documents, as produced during prior onboarding steps as a New Business Submission
- Select the appropriate model portfolio based on Investment Strategy proposed and agreed to by client
- Adjust submission form based on other specific client requirements or request (i.e. partial or systematic withdrawals, etc.)
