Wealth advisory
Intelligence inside the advisor's workflow.
Bring client records, review evidence and policy requirements together so advisors and compliance teams can act with better context.
Business questionIs the evidence for this client review complete before the meeting?
What gets in the way
- KYC renewals are tracked in parallel systems and spreadsheets
- Disclosures are scattered across email, document stores and the CRM
- Review evidence is incomplete or assembled retroactively
- Supervision is fragmented across advisors, branches and books
A first scope can
KYC and periodic-review preparation with an exception queue.
Scoped to your requirements
Approved sources we typically connect
- The CRM or book-of-business system already used by the advisory team
- Identity, KYC and onboarding documentation held in the approved repository
- Suitability questionnaires, review notes and meeting records
- Internal policy, supervision and compliance manuals as the governing reference
Example workflow
01 / 05
An approaching review is identified from the client record
Controls
- Book-of-business permissions so advisors see only their own clients
- Document versioning with the superseded version retained
- Recommendation rationale captured as written text, not implied by a score
- Licensed sign-off before any advice-bearing output reaches a client
Review authority: Licensed staff retain suitability and recommendation authority. The system never adjusts a client's risk profile to match existing holdings.
Common questions
Does this replace the advisor's judgement?
No. It assembles the evidence for a review and names what is missing. The recommendation, the rationale and the sign-off remain with licensed staff.
Can advisors see each other's clients?
Permissions follow the book of business. An advisor sees their own clients; supervisors see what their supervisory role requires, and access is recorded.
What happens to a superseded document?
It is retained as a prior version rather than overwritten, so the file shows what was on hand at the time each review was completed.
Shared discipline. Different operating requirements.
The method is consistent across sectors. The source systems, reviewers, controls and success measures are specific to each one.
Suggested entry point
First Workflow Deployment