Households, reviews and compliance in one client record
CRM for financial advisors
Every client household with its goals, holdings summary, advice history, review dates and compliance records, with a review calendar that runs the year and an audit trail a regulator can follow.
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AdviceHub: the financial advisors edition, in your browser
One of twelve industry systems we build from, each with its own screens, workflow and vocabulary. AdviceHub carries a compliance register with the documents a regulator asks for, plus the pipeline, inbox with SMS and email, quotes the customer accepts online, schedule, editable automation flows, reports and a phone view. Sample data in your browser only. Your build carries your own stages, fields and rules.
Use Expand in the demo toolbar for a full screen view, press Escape to close it, or open the financial advisors demo on its own page.
Who this is for
Built for financial advisors
Independent financial advisers, wealth management firms and planning practices with 1 to 30 advisers, currently paying per seat for a CRM built for sales teams and keeping compliance records in folders.
Review calendar that runs the year
Annual and periodic reviews are scheduled from the client's service agreement, meeting packs are generated from the record and post meeting actions are tracked to completion.
Compliance built in
Fact find versions, advice documents, consents, ID checks and file notes stored with dates and authors. A compliance dashboard shows any client missing a required document.
Fee reconciliation
Expected ongoing fees per client against payments received from providers, with a report of shortfalls to chase.
Referrals and introducers
Track where clients come from, thank introducers automatically and report on the value of each referral source.
Pipeline
The stages work moves through
A starting point we adjust to your process in the first design week. Each stage can require fields, trigger messages and create tasks.
- Prospect
- Discovery meeting
- Fact find
- Advice presented
- Implemented
- Ongoing client
- Annual review due
- Exit
Records
What the system keeps track of
Real record types with the fields your team uses, related to each other so one screen shows the whole picture.
Integrations
Connected to the tools you already run
Two way where both sides edit the data, one way where they do not, monitored for twelve months as part of the build.
- Provider and platform data via CSV or API
- Xero or QuickBooks
- DocuSign
- Microsoft 365 or Google Workspace
- Calendly
- Risk profiling tool exports
Questions we get asked
Can the CRM be FINRA compliant?
A CRM supports FINRA and SEC obligations rather than being compliant on its own. We build in what examiners ask for: retained and unalterable communication records, supervisory review queues, logged access, suitability data and exportable audit trails. Email archiving usually stays with your archiving provider, connected to the CRM, and your compliance officer approves the final setup.
How much does a financial advisor CRM cost?
An adviser CRM with households, advice records, reviews, compliance and fee tracking is typically 9,900 to 15,900 US dollars fixed, delivered in six to eight weeks. A client and review tracker for a small practice starts at 4,900. There are no per-adviser fees, so paraplanners and administrators are included at no cost.
Is it suitable for regulated firms?
Yes. Records carry authors and timestamps, documents are versioned, deletions are soft with an audit log, access is role based and data is hosted in your country. We document every one of those controls in writing, so your compliance function can reference them directly in policies and hand them to an auditor.
Can it manage annual reviews?
Yes. Review dates are set from each client's service level, appear on the adviser's calendar with reminders, and meeting packs are generated from the record. Outcomes and actions are logged and a report shows reviews overdue by adviser. Clients can confirm or reschedule the meeting from the email, and the review record links to the fact find version that was current at the time.
Does it integrate with platforms and providers?
Where a provider offers an API we connect it; otherwise we import their data exports on a schedule so holdings summaries and fee statements appear on the client record. We confirm which integrations are possible during discovery before quoting. Fee statements are reconciled against expected fees per client as part of the import, so the integration pays for itself in recovered shortfalls.
Is this wealth management CRM software?
Yes. Wealth management firms get households rather than single contacts, assets under advice per household, review cycles, suitability and fact find records, and an audit trail for every recommendation. Custodian and planning tool data is read in nightly, so advisers see the whole relationship without keying figures twice, and compliance sees reviews that are overdue.
Tell us how your financial advisors business works. We will quote the CRM that fits it.
A 30 minute written brief from you, a fixed price and a two page scope from us within two business days. No call required, no obligation.