Onboarding for client success

Wealth management onboarding template

Wealth managers can send this checklist to new clients to manage the onboarding process. It covers initial discovery, fact-finding, signing agreements, compliance, and account setup.

Use this template to onboard your clients.

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Wealth management client onboarding

Welcome to our wealth management practice. This checklist will guide you through the process of setting up your account, gathering your financial information, and building your personalized wealth strategy.

No due date

Link tasks to actions, such as completing forms or booking meetings

Initial discovery and documentation

Let's start by getting your basic information and verifying your identity to ensure regulatory compliance.

Complete client intake form

Please fill out our secure intake form with your basic contact and household information so we can get to know you better.

No due date Complete form

Upload your government-issued ID

Upload a secure copy of your driver's license or passport. This is required for identity verification and anti-money laundering purposes.

No due date Upload documents

Verify client identity documents

Review the provided ID to ensure compliance with KYC/AML regulations and approve the client profile.

No due date Any team member

Tasks can be for the clients being onboarded, or for the team

Financial fact-finding

In this section, you will provide the financial documents and insights we need to craft a portfolio that fits your unique goals.

Provide recent tax returns

Please upload your last two years of tax returns so we can understand your current tax situation and look for optimization opportunities.

No due date Upload documents

Upload current account statements

Provide statements for any investment, retirement, or bank accounts you would like us to review, manage, or consider in your financial plan.

No due date Upload documents

Complete the risk tolerance questionnaire

Take our 5-minute survey to help us understand your comfort level with investment risk and market volatility.

No due date Complete form

Analyze financial profile

Review the client's tax documents, financial statements, and risk tolerance data to prepare the initial wealth management strategy.

No due date Any team member

Strategy and agreements

We will review your personalized financial strategy together and finalize the paperwork to officially bring you onboard.

Schedule strategy presentation

Reach out to the client to schedule the initial wealth strategy meeting.

No due date Calendly Calendly / Book meeting Any team member

Attend the strategy presentation

Join us for a meeting where we will present your customized wealth management plan and investment recommendations.

No due date

Sign advisory agreements

Review and sign the wealth management and fee agreements to officially engage our services.

Countersign agreements

Sign the client agreements on behalf of the firm, set up billing, and save the documents to the client record.

No due date Any team member

Account setup and funding

The final step is to open your new investment accounts and transfer the funds so we can put your money to work.

Prepare custodial paperwork

Draft the necessary paperwork to open the client's new custodial accounts based on the agreed-upon strategy.

No due date Any team member

Sign account opening documents

Review and sign the documents required to open your new investment accounts with our third-party custodian.

Initiate account transfers

Authorize the transfer of funds from your existing bank or brokerage accounts to your new managed accounts.

No due date

Confirm funding and execute trades

Verify that the accounts have been successfully funded and execute the initial portfolio allocation.

No due date Any team member

Click the button below to edit or add tasks, add due dates, and much more...

Free plan • No credit card needed

Customize this template

Or build your own

How to use this template

Three simple steps to onboard clients

Step 1

Grab this template

Step 2

Send to clients

Only needs an email address. Or add an open invite link to your existing welcome emails.

Step 3

Clients complete tasks

  • Email reminders keep things moving
  • Ask questions or clarify with comments
  • Summary page shows everything you need to know

Free plan • No credit card needed

Customize this template

Or build your own

Loved by 4,500+ happy users

The perfect way to onboard clients

Keep track of wealth management onboarding in one central hub

Your brand (even the emails)
Instantly know what's been done
Shows clients what to do
Chases up while you sleep
Everything lives in one place

Free plan • No credit card needed

Customize this template

Or build your own

Sick of the onboarding admin?

Switch to friction-free customer onboarding software

Secure link, no passwords

Accessing a plan (or getting back into it) is as simple as following a link. We're obsessed with useability.

Comment & collaborate

Customers can ask questions right from within a task. They can also invite others in to help them, without bothering you.

HubSpot ready

  • Start new onboarding plans inside HubSpot
  • Adds events to the timeline
  • Updates custom fields
  • Attaches photos and documents

If you don't use HubSpot, no problem. It works great without it too.

White label (including emails)

Every interaction, from invite through to the task page, showcases your brand.

Does the chasing up

Never send a "checking in" email again.
We'll make sure tasks always get done, on time.

Helps you improve

We'll ask clients to rate their onboarding experience.

  • Helps you to constantly improve your processes
  • Make sure your team are delivering exceptional service

Wealth management is a financial advisory service designed for high net worth (HNW) individuals & families.

Rather than focusing solely on stock picking or retirement accounts, a wealth manager coordinates every dimension of a client's financial life into a long term strategy.

Free plan • No credit card needed

Customize this template

Or build your own

Handles complex onboarding too

Calculated due dates

Set due dates calculated on the fly from the start date, a target date, or based off when other tasks are completed.

Sequential tasks

Choose to make tasks sequential, so that tasks need to be completed in order.

Frequently asked questions

How can I use this template?

Just click Customize this template above and we'll take you through a couple of simple steps to create an Onthen account and copy the wealth management onboarding template into it.

Once that's done we'll take you straight into the template editor where you can customize it to your exact needs (there's bound to be a few things you'll do differently).

Finally, once it's ready you can use it to create individual checklists (we call them 'plans') for each of your clients. Just type their email address and we'll do the rest. As they move through the tasks, you'll see their progress in the dashboard.

Who is this wealth management onboarding onboarding template for?

If you run a team that needs to onboard clients then the wealth management onboarding template is a perfect starting point.

You'll first be able to tailor the template to your team's needs, by editing, removing or adding tasks to suit your onboarding process. When it's perfect, onthen has all the tools you need to easily invite clients to it and make sure all the tasks get done, on time.

How do clients use it?

First you'll invite clients to the checklist. You can either send an invite manually, through our HubSpot integration, or by using an invite link that lets anyone with the link create a new checklist.

Your clients won't need to create an account or a password, they'll simply access it with a 6-digit code we'll send to their email.

It's really easy to use and there's nothing to navigate, it's a simple single page onboarding plan that looks pretty much like you see above.

If any task gets forgotten about, we'll send email reminders to nudge your clients to complete everything.

Free plan • No credit card needed

Customize this template

Or build your own

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