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 manage client relationships via periodic contact, so that there’s ongoing contact with clients without regard to meeting frequency. The point of contact could take the form of a phone call, , card, or gift. Typical reasons for the contacting a client might include but are not limited to a family/lifestyle change, recent event, outstanding issue, financial notification, client achievement (i.e. new job, promotion, news, or press), or special event (i.e. birthday, wedding anniversary, etc.). When determining how frequently to contact a client, a firm should take into consideration the type of client (service-level, communication preferences, personal schedule, etc.) and capacity of the team to manage those points of contact.
Process Checklist
PREPARE
ROLE
TASK
DETAILS/TIPS
Advisor
Review Client Records & Activity
Due: Day of Point of Contact
This process is initiated when a reminder or event prompts the Advisor to contact a client, which typically happens one of two ways:
The firm sets a reminder to contact the client, which could be scheduled to maintain ongoing contact, follow-up on something, or to recognize a specific date (i.e. day became a client , birthday, etc.)
The firm finds out about a specific event or news that is relevant o the client (i.e. client had a baby, news in client’s industry of work, etc.)
Review the client’s records and activity (i.e. meetings, calls, s, transactions, etc.) in the CRM and other relevant systems
For added client context or background that recall the last point of contact with the client and the firm’s latest activity with the client
To ensure there's no outstanding issues that needs addressing and might derail the original reason for the point of contact
Identify Reasons & Type of Contact Required
Due: Day of Point Contact
If point of contact requires a call or
Move to the “Conduct – Call or ” step of this process next and skip the “Conduct – Gift or Card” step
If point of contact requires a gift or card:
Move to the “Conduct – Gift or Card” step of this process next and skip the “Conduct – Call or ” step
© 2015 SEI. This information is proprietary.  No further distribution is intended.

2. Planning Services Meeting Client Communications
Client Management
Review Meeting
Planning Services Meeting
Periodic Contact
Client Communications
Process Checklist
CONDUCT – CALL OR
ROLE
TASK
DETAILS/TIPS
Advisor
Conduct Call or Send
Whether the firm chooses to send a gift versus a card to client, depends on the occasion, the type of client, and the firm’s general policies
Contact the client via a call or utilizing the following informal agenda as a guide:
Address any immediate client concerns
Review any family or personal topics (i.e. kids)
Identify reason for point of contact
Review any outstanding issues or next steps
Thank client for time or consideration to matter
Process Checklist
CONDUCT – GIFT OR CARD
ROLE
TASK
DETAILS/TIPS
Client Service Associate
Organize & Send Gift or Card
Whether the firm chooses to send a gift versus a card to client, depends on the occasion, the type of client, and the firm’s general policies
Send a gift or card to the client utilizing the following informal tasks as a guide:
Gather all necessary materials and information (i.e. address)
Organize and prepare all deliverables to be sent
Send gift or card to the client and monitory delivery as appropriate
Process Checklist
FOLLOW-UP
ROLE
TASK
DETAILS/TIPS
Advisor
Manage Follow-Up Tasks for Point of Contact
Due: Day of Point of Contact
Record any relevant notes and input any new profile data in the CRM
Execute and assign any tasks coming out of the point of contact
Launch "Periodic Contact" workflow again as appropriate
© 2015 SEI. This information is proprietary.  No further distribution is intended.