Client Review SOP

graph LR
  A[Schedule Window Opens] --> B[Prep Performance Data]
  B --> C[Draft Agenda]
  C --> D[Client Invite]
  D --> E[Review Call]
  E --> F[Recap & Archive]

1 Purpose

Maintain proactive client engagement through structured quarterly and annual reviews.

2 Triggers

• Calendar quarter end for discretionary accounts.
• Advisor requests ad-hoc review due to life event.

3 Inputs

• Portfolio performance exports from custodians.
• Updated goals summary from advisor.
• Prior review notes stored in Notion.

4 Steps

1. Generate performance summary and upload to shared Google Drive folder.
2. Draft agenda in Notion template and route to advisor for approval.
3. Send Buttondown email with scheduling link and agenda preview.
4. Host review call, capture notes, and log action items in LACRM.
5. Within 48 hours, send recap email and archive materials to S3.

5 Exceptions

• Client reschedules twice: escalate to advisor for direct outreach.
• Market outage: alert compliance and rescope agenda.

6 Owner Handoffs

• Advisor Support → Advisor for agenda approval.
• Advisor Support → Compliance if action items include restricted securities.

7 SLAs

• Agenda drafted within 5 business days of trigger.
• Recap email sent within 2 business days of meeting.

8 Controls

• Agenda requires advisor approval before emailing client.
• Call recording stored with 30-day retention in accordance with policy.

9 Audit Artifacts

• Performance PDF copies.
• Meeting agenda and recap stored in S3.
• CRM task list with completion dates.

10 Vendor Nuances

• Buttondown: use review campaign template to personalize scheduling links.
• Google Meet: enable recording only when client consents.

11 FAQs

What if the advisor is unavailable? Reschedule within the SLA and note the reason in LACRM; escalate to Ops Director after 7 days.

How are action items tracked? Create CRM tasks assigned to accountable owners with due dates, and review status during weekly Ops standup.