1. Planning Services Meeting Client Communications
Client Management
on a seasonal approach, such as tax analysis in first quarter, education planning in second, insurance and estate planning in third and fourth quarter).
Review Meeting
Planning Services Meeting
Periodic Contact
Client Communications
Description: This workflow describes all the steps required to provide specialized planning services to your clients that differentiate from your core offering. Common planning services include but are not limited to the following: tax preparation for high-net-worth clients, estate planning, etc. Typically this type of meeting is conducted an as-needed basis, because of the nature of their focus in specialized areas of service.
Process Checklist
PREPARE
ROLE
TASK
DETAILS/TIPS
Associate Advisor
Validate Meeting Focus with Advisor
Due: 2 Weeks Before Meeting
This process is initiated when a planning meeting is scheduled with a client, which is typically done on an as-needed basis based on the client’s needs
Review past client activity, meetings, and s in the CRM or other systems
This helps confirm what was discussed or agreed-upon before, to ensure the upcoming meeting meets expectations in terms of focus
Additionally, it allows the team to identify any outstanding issues which will need to be resolved before the meeting or addressed during the meeting
This provides an opportunity to anticipate the needs of the client and the topics of the Advisors wants to cover with the client
Confirm the meeting focus and topics with Advisor
Record notes within the CRM outlining the key agenda items discussed with the Advisor, for reference later or by other team members (i.e. for the Associate Advisor to determine what is needed for the meeting analysis)
Initiate Data Collection Process
Review the client’s record to confirm the data needed for the meeting analysis
Organize a comprehensive list of all the information needed and identify what data is still needed from the client
"Missing Info Checklist" template (right-click underlined text to open hyperlink to template)
the client to request any necessary data
Be sure to clearly list and explain the information that is needed so nothing is missed or misinterpreted
Call the client o confirm there’s a complete understanding of the request
Coordinate with any third-parties as appropriate
This is necessary if a third-party will be attending the meeting or providing a deliverable for the meeting (i.e. tax analysis, insurance policies, etc.)
Verify Receipt of Requested data
Due: 5 Days Before Meeting
Confirm all data requested from the prospect has been received
If not all necessary info has been provided by the client, reschedule meeting to a later date
© 2015 SEI. This information is proprietary.  No further distribution is intended.

2. Planning Services Meeting Client Communications
Client Management
on a seasonal approach, such as tax analysis in first quarter, education planning in second, insurance and estate planning in third and fourth quarter).
Review Meeting
Planning Services Meeting
Periodic Contact
Client Communications
Process Checklist
PREPARE
ROLE
TASK
DETAILS/TIPS
Associate Advisor
Create Analysis and Agenda
Due: 5 Days Before Meeting
Utilize the firm's systems to generate reports needed for the client’s analysis
Add any additional client-specific deliverables to the review packet
This could be based off of specific Advisor instruction or a client request
Draft the meeting agenda
Planning Services Meeting Agenda" Template (right-click underlined text to open hyperlink to template)
Provide the meeting materials to the Advisor for review
This allows the Advisor to review or approve materials before the meeting
Advisor
Evaluate & Approve Meeting Materials
(If Applicable)
Due: 3 Days Before Meeting
Provide feedback or revise the meeting materials as needed
Approve the meeting materials as appropriate
Client Service Associate
Confirm Meeting Specifics with Client
Typically this step is completed via phone and/or depending on the Advisor’s or prospect’s preferences
If in-person provide directions on meeting location, parking, etc.
If web-based, provide dial-in, web link, log-in instructions, etc.
Remind prospect to bring any requested documents (if applicable)
Review the meeting agenda items to set expectations as appropriate
If confirmation is being performed via , draft and send a meeting confirmation letter
"Meeting Confirmation Letter" template (right-click underlined text to open hyperlink to template)
© 2015 SEI. This information is proprietary.  No further distribution is intended.

3. Planning Services Meeting Client Communications
Client Management
Review Meeting
Planning Services Meeting
Periodic Contact
Client Communications
Process Checklist
CONDUCT
ROLE
TASK
DETAILS/TIPS
Client Service Associate
Prepare Room Resources & Technology
Due: Day of Meeting
Ensure there are enough printed materials, chairs, beverages, and pens/notepads organized in the meeting room
Reference the Advisor as needed for preferences for meeting space
Set up and test all technology being used during the meeting 5-10 minutes before to ensure it’s working properly
If breakfast/lunch meeting, place all food orders
Advisor
Conduct Planning Services Meeting
Conduct the meeting utilizing the meeting agenda to guide discussion
Review Agenda – To set expectations about what’s going to be discussed and what the goal of the meeting will be
Discuss Immediate Client Concerns / Additions to Agenda – To ensure the prospect doesn’t have any outstanding concerns or issues that would impede them from signing off on the plan
Discuss Firm’s Analysis
Identify Assumptions / Action Items
Review Recommendations
Discuss Next Steps – To ensure everyone’s aware of what was discussed and what is expected coming out of the meeting
Typically this includes a review of to-dos for both the Advisor and the client in terms of outstanding questions, issues, data, documents, or necessary action steps
“Meeting Notes” Template (right-click underlined text to open hyperlink to template)
© 2015 SEI. This information is proprietary.  No further distribution is intended.

4. Planning Services Meeting Client Communications
Client Management
on a seasonal approach, such as tax analysis in first quarter, education planning in second, insurance and estate planning in third and fourth quarter).
Review Meeting
Planning Services Meeting
Periodic Contact
Client Communications
Process Checklist
FOLLOW-UP
ROLE
TASK
DETAILS/TIPS
Associate Advisor
Manage Meeting Follow-Up Tasks
Due: 1 Day After Meeting
Execute and assign any tasks coming out of the meeting
Execute any time-sensitive items coming out of the meeting (i.e. trades)
Assign tasks to appropriate representatives within the firm
Update the CRM and any other relevant systems
Record meeting notes and any follow-ups in the CRM
Update all data in the CRM and all other firm systems
Send Summary Letter to Client
Due: 1 Day After Meeting
This could be a mailed hand-written note or an to the client
Draft & send a summary letter to the client which:
Thanks the client for the opportunity to work together
Outlines what was agreed-upon and identifies next steps
“Summary Letter" Template (right-click underlined text to open hyperlink to template)
© 2015 SEI. This information is proprietary.  No further distribution is intended.