True Story: Reduced expenses by $200,000, attracted experienced advisor, and improved compliance

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  • Staff not working at the highest skill level and overloaded with work
  • Lack of time to attract and on board new clients
  • Unable to attract new advisors and open new locations
  • Dilution of 3 office, regional brand due to lack of standard operating processes
  • Unable to monitor quality of client servicing


CRM: migrated from Goldmine/Outlook to Salesforce CRM
DOC MGMT: migrated from server to Net Documents DMS and integrated with Salesforce
DICTATION: added Mobile Assistant and integrated with Salesforce
PORT MGMT: implemented Orion and integrated Salesforce
QUESTIONNAIRE: added Precise FP into data gathering process
EMAIL: moved to Office 365 with Smarsh archive
FINANCIAL PLANNING: improved use of Money Guide Pro and integrated with Salesforce
EMAIL DRIP: setup Mailchimp and integrated with Salesforce
FORMS: integrated Laser Apps with Salesforce

installed dual monitors
installed desktop TWAIN scanners to integrate with Net Documents eliminated 3 servers

MARKETING: moved to Advisor Websites for design, coding, and ongoing support
IT: hired onsite IT person
INVESTMENT: moved portfolio back office reconciliation & reporting to Orion



  • Decreased Staff costs by $175,000 due to attrition and no need to fill positions
  • Gained $30,000+ annual cost from elimination of servers
  • Increased revenue due to comprehensive billing of all investments
  • Improved compliance with full backup of all documents at an offsite, secure bunker and activity log of client servicing
  • Increased staff’s capacity by over 50% due to implemented software, hardware, and integrations
  • Able to track and maintain quality standards



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