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PSA 8 - New Client Process

"You have to learn the rules of the game. And then you have to play better than everyone else."

 - Albert Einstein

WHY is this meaningful to you?

The New Client Onboarding Process is a structured work flow for bringing on new clients and/or evolving existing clients. This process allows you to be more organized and efficient as an employee and consequently demonstrate a high degree of professionalism to our clients.

This process has been created to deliberately increase the level of trust and rapport we establish with a new client right from the outset. In other words, its primary purpose is to set the stage right from the outset so we can convert clients to advocates. 


This strategy will focus on an introduction to and overview of the New Client Onboarding Process. Subsequent strategies will provide all resources necessary to support each step in the process.

WHO is this proven strategy designed for?


For those who want to create a new or fine-tune an existing process for bringing on new clients. 

WHAT should you expect?


You will: 

  • Remain focused on client objectives and follow the Professional Model

  • Successfully position yourself as more than just an “Investment Advisor”

  • Implement financial planning strategies in stages (i.e. segmented financial planning) to evolve as your clients’ needs change

  • Experience client engagement and advocacy early in the relationship

  • Have a system to track all new client activities

WHAT you need to know

HOW to Take Action & Implement Successfully?


As you move forward through the New Client Process, it is important for you to:

  1. Become familiar with the flow of the New Client Process.

  2. Review and prepare to use all agendas, scripts and templates necessary to successfully carry out each phase of the New Client Process as they are covered over the next couple of months.

    • Each strategy in the New Client Process will have its corresponding agenda, script and template samples.

    • It is important that you familiarize yourself with each of these items and it is even more important that you understand what role they serve towards your new clients’ experience.

  3. Ensure each step of the process is implemented at the appropriate point in the process.

    • The New Client Checklist is a tool to help you identify and track the steps for successful implementation.

    • Modify this checklist as we work through each section of the process.

    • Finalize and implement this checklist once this process if fully completed.

  4. Consistently use every aspect of the process with all potential new clients.

  5. Give the process a chance to work.



Watch Here to Learn More




PSA 8 New Client Process

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