Document Collection & Fact-Find

Q: Does someone still need to check the documents?

A paraplanner still reviews document quality, but only after files have already been matched and organized.

Q: Will this work with the tools our firm already uses?

The automation connects to common email, storage, spreadsheet, and CRM tools already used for client onboarding.

Q: What happens to our existing client tracking spreadsheet?

Existing tracking data can be carried over so the automation continues monitoring the same clients without gaps.

Q: How are incomplete or unusual documents handled?

Items that cannot be matched or verified automatically are flagged for a team member to review.

Replace manual document chasing with a structured, automated intake flow that gets fact-finds back faster and with fewer gaps.

240 hrs

Manual time identified

Companies have mapped

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About This Automation

Collecting client documents and fact-find answers requires chasing paperwork across scattered email threads while manually tracking who has responded. Missing items, inconsistent file names, and repeated follow-up emails slow down onboarding and delay adviser review.

An automated version sends checklists and questionnaires, matches incoming files against requirements, and chases only what is missing. Completed files are organized, logged, and the adviser is notified automatically once everything is ready.

Key features:

Sends document checklists and fact-find questionnaires automatically when a new client is added

Matches incoming attachments against the required document list

Chases only the specific missing items instead of resending full checklists

Renames and files completed documents into the correct client folder

Updates the client record with document and fact-find status in real time

Notifies the adviser automatically once the file is complete and ready for review

Data insights How it works Apps used What you get FAQ

Top friction points when done manually

The issues teams report most often with this process

#	Friction point	Companies Report This
1	Chasing missing documents repeatedly Admins send multiple follow-up emails to clients who have not sent everything.	80%
2	Documents scattered across threads Attachments arrive in separate email conversations that are hard to track.	67%
3	Manual status tracking Progress is tracked by hand in a spreadsheet with no automatic updates.	53%
4	Inconsistent file naming Files must be renamed manually before they can be filed correctly.	40%
5	Delayed adviser notification Advisers are not told a file is complete until an admin messages them directly.	26%

Disclaimer

Automation readiness

How well-suited this process is for automation

Process Pain Score™

9.1/ 10

AI Fit Rating™

8.9/ 10

Automation Lift Index™

8.4/ 10

Hidden Overhead™

6.8/ 10

How The Automation Works

The full workflow, from trigger to completion.

1. New Fact-Find Assignedtrigger

A new client record marked as onboarding starts the workflow.

2. Send Checklist And Questionnaire

The client receives a document checklist and fact-find link automatically.

3. Document Collection Files Documents

Incoming attachments are matched against the checklist, logged, and filed.

4. Send Reminder For Missing Documents

If items are still outstanding, a reminder email goes out with only the missing items listed.

5. Fact-Find Scheduling Updates CRM

Completed responses are parsed and the client record is updated.

6. Paraplanner Reviews Incomplete Responses

Any fact-find answer that looks inconsistent or unclear is routed to a paraplanner for a manual check.

7. Notify Adviser Fact-Find Complete

The adviser receives a message confirming the file is complete and ready for plan drafting.

Most popular tool stack used

— the complete tool combinations companies use

55% of companies

28% of companies

15% of companies

Disclaimer

What you get when you map this process

Everything you need to understand, plan, and build your automation.

ROI and business case

What this process costs today and what changes once it's automated.

Launch schedule

What gets built, in what order, and what success looks like once it's live.

Process runbook

How the automation runs day to day, including exceptions and human decision points.

Developer handover pack

Full build spec, logic, and configuration — ready to hand off without a briefing call.

Integration and connections guide

Every tool connection, credential, and data mapping the build needs.

Test and QA plan

88 hrsIdentified

4Mapped

View

Frequently asked questions

Everything you need to know before mapping this process.

What parts of document collection can be automated?

Sending checklists, matching incoming documents, chasing missing items, filing, and status updates can all run automatically.

Does someone still need to check the documents?

Will this work with the tools our firm already uses?

What happens to our existing client tracking spreadsheet?

How are incomplete or unusual documents handled?

View more FAQs

Process pain:9.1/10

Mapped by:16 Companies

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Page updated 10 August 2026