AI by industry · Financial advisors
Client follow-up for financial advisors with AI
Advisory relationships are won and kept in follow-up: the recap after a discovery call, the reminder for the form not yet signed, the check-in after a life change. AI can draft each message from your meeting notes and track what is open. You read and send, so the voice and the compliance stay yours.
Talk through your practice with the person who builds it
A free 30-minute call. You leave knowing which part of your financial advisor to hand to AI first, what we would build, and roughly how long it takes.
After the meeting, while it is fresh
A recap that lists what you discussed, what the client will bring and what you will do next shows organization and prevents misunderstandings. AI can draft it from your notes in moments.
Keep the draft factual. A recap is not the place for new recommendations or promises.
Paperwork nudges
Account applications and transfer forms stall because people forget one signature. A reminder that names the exact page gets it done.
Offer a simple way to finish: a signing link, an upload button or a quick call.
Stay in touch between reviews
Birthdays, graduations, retirements and moves are real reasons to reach out. A list of clients you have not spoken to, with context, helps you pick up the phone.
The reason to reach out should be genuine. A forced check-in reads as marketing.
Picture this
Examples of what it can look like. Illustrations, not clients.
A prospect met with you last week and has not replied. A short note answers the question she raised and offers a next step.
A transfer form is missing a signature. The client gets a reminder with a link to sign.
A client mentioned a daughter’s wedding. You see a prompt to ask how it went.
The rules that apply, in their own words
“must be fair and balanced, and must provide a sound basis for evaluating the facts”
“header information that is materially false or materially misleading.”
Sources
- 15 U.S.C. § 7704 (CAN-SPAM Act): Rules for commercial email: honest headers, opt-out, address.
- FINRA Rule 2210: Communications with the Public: The rule for broker-dealer marketing and client messages.
- 17 CFR § 275.206(4)-1 (SEC Marketing Rule): The rule for investment adviser ads and testimonials.
- 15 U.S.C. § 45 (FTC Act, Section 5): The federal ban on unfair or deceptive business practices, ads included.
Talk through your practice with the person who builds it
A free 30-minute call. You leave knowing which part of your financial advisor to hand to AI first, what we would build, and roughly how long it takes.
Questions
Do emails need to be archived?
Often yes. Make sure follow-up goes through channels your firm archives.
Can AI text clients?
Texting rules and firm policy vary. Check them first.
What if a prospect never replies?
Send a short, polite note after a few attempts that closes the loop, then stop. Leave the door open.
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