Financial adviser document collection

Have the fact-find completed before every client review

Send each client one link for statements, pay stubs and questions about their goals. Lead Source follows up on what is missing, so the meeting is spent on the plan.

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Annual review · the Whitford family
Fact-find2 of 5 complete
  • About youComplete
  • Income and spendingComplete
  • Assets and debtsIn progress
  • Retirement savingsNot started
  • InsuranceNot started

Review 12 March · reminder Monday

What you ask for

Statements and goals in one request

Ask for statements and fact-find answers in the same request, so every review starts from current balances and goals.

Documents

  • Bank, brokerage and savings statements.
  • Retirement statements: 401(k), 403(b) and IRAs.
  • Life, disability and long-term care policies.

Information

  • Goals for the next five years.
  • Expected changes to income or retirement date.
  • Any inheritance or large expense ahead.
By meeting type

Three fact-find templates for the year

Three versions cover most of the calendar, each asking for what that meeting needs. Save them and reuse them all year.

  • First meeting with a new client

    The full fact-find: accounts, income, debts, policies and goals.

  • Annual review

    Updated statements, what changed this year and whether goals still stand.

  • Life events

    A focused request for what a new job or move touches.

The client’s view

Each client fills in the fact-find from their own link

When the review is booked, the Whitfords get one link to their fact-find. They work through it in sections, upload each statement as they download it and finish the retirement accounts at the weekend. There is no client login to manage. See how requests work on the document collection software page.

Example email to Claire Whitford

Your fact-find: 5 sections

Hi Claire, please finish this before we meet on 12 March.

  • 401(k) statementsUpload
  • New retirement date?Answer
  • Insurance policiesUpload
Open your requestDue 5 March
Automatic reminders

Reminders for statements before the review

Set the due date a week or so before the review. Reminders list only what is outstanding, and early finishers get no more email.

  1. Review booked

    Fact-find sent

    The sections to complete, with the link and due date.

  2. Before the due date

    Reminder for open items

    One email naming what is still to come.

  3. Due date passes

    Shown as overdue

    Your dashboard flags it well before the meeting.

  4. All in

    Ready to prepare the review

    Every statement and answer sits with the request.

Tracking reviews

See which reviews are ready to prepare

The dashboard shows each open request, how much the client has finished and which are overdue. Prepare the ready meetings first.

Open a client to see which statements are in. Then make one targeted call.

Client reviews · open requests
  1. Whitford familyAnnual review2 of 5Review in 8 days
  2. Dr. Alan BrooksNew client fact-find4 of 11Overdue by 2 days
  3. Maya and Leon OrtizRetirement review6 of 6Complete
Privacy and access

Account statements, gathered privately

Clients upload each statement through their own link, and it is kept in private storage with controlled access.

  • A personal link for each request. Clients upload and answer without an account.

  • Private file storage. Uploads are kept in private storage with controlled access.

  • Reviewed from your account. Sign in to Lead Source to see and open every file.

  • Kept with the request. Statements, IDs and photos stay together with the request they answer.

Common questions

Questions financial advisers ask

Can I use this as a financial planning questionnaire?

Yes. Build your fact-find as a multi-step request with questions and file uploads. Answers save as clients go, so they can finish over several sittings.

Can clients upload statements from their phone?

Yes. PDFs from providers and phone photos of paper statements both work, and everything arrives with that client’s request.

Can I send a shorter request for annual reviews?

Yes. Keep a full fact-find for new clients and a shorter review template for existing ones, and send whichever fits.

Does it do risk profiling or make my firm compliant?

No. Lead Source collects documents and answers. It does not model cashflow, profile risk, give advice or act as a compliance system.

Walk into every review with the fact-find already done.

Send your first fact-find request free.

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Document collection software