Paraplanning Workflow & Handoff

Q: Does a paraplanner still review the report before it goes to the client?

Yes, the paraplanner and adviser still review and approve every report before it goes out for signature.

Q: Can this work alongside our existing CRM and document tools?

It is built to connect with the CRM, spreadsheet, and document tools the firm already uses rather than replacing them.

Q: What happens if a case is missing key client information?

The automation flags missing documents or data points early so the adviser can be asked before research and modeling begin.

Q: Is this suited to a small financial planning firm or only larger practices?

It fits firms of any size that produce suitability reports regularly, since the handoff steps stay the same regardless of team size.

Moving work between adviser and paraplanner without instructions getting lost.

387 hrs

Manual time identified

Companies have mapped

Map This Automation

About This Automation

Paraplanning is the research, modeling, and report drafting work behind every financial planning recommendation. Done manually, it means chasing missing documents, rebuilding scenario spreadsheets, and cycling drafts back and forth with an adviser before anything reaches a client.

An automated version checks case files for completeness immediately, assembles research and projections in a standard format, and drafts the suitability report for review. The result is a faster handoff between paraplanner and adviser with fewer stalled cases.

Key features:

Flags missing documents and data points as soon as a case is opened

Assembles fund and product research into a standard comparison format

Builds scenario projections without manual spreadsheet rebuilding

Drafts the suitability report narrative from research and modeling outputs

Checks draft language against compliance requirements before adviser review

Prepares the final disclosure pack and closes out the case record automatically

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	Missing documents surface late Gaps in the case file are often discovered only after research and modeling have already started.	80%
2	Spreadsheet rebuilding for every case Scenario models get rebuilt from scratch instead of reusing a consistent structure.	67%
3	Slow adviser review cycles Reports sit waiting for adviser feedback and often bounce back for multiple edit rounds.	53%
4	Compliance checks done late Disclosure and compliance review happens near the end, risking last-minute rework.	40%
5	Manual CRM status updates Case status and final documents are logged into the CRM by hand after everything else is done.	26%

Disclaimer

Automation readiness

How well-suited this process is for automation

Process Pain Score™

9.4/ 10

AI Fit Rating™

8.6/ 10

Automation Lift Index™

8.0/ 10

Hidden Overhead™

6.5/ 10

How The Automation Works

The full workflow, from trigger to completion.

1. New Case Loggedtrigger

Adviser marks a case ready for paraplanning, which starts the workflow automatically.

2. Case Intake And Document Check

The intake pulls the client file and checks it against the required document list.

3. Follow Up On Missing Documents

If documents are missing, a message goes to the adviser listing exactly what is needed.

4. Run Research And Scenario Modeling

The research builds fund comparisons and projection scenarios in the standard workbook format.

5. Draft Suitability Report

The drafting writes the report narrative and flags any compliance gaps inline.

6. Send Draft For Adviser Review

The finished draft posts to the adviser with a summary of flagged items.

7. Finalize And File Case

Once approved, the handoff sends disclosures for signature and closes the case.

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

376 hrsIdentified

4Mapped

View

Frequently asked questions

Everything you need to know before mapping this process.

What parts of the paraplanning process does the automation handle?

It handles document checks, research gathering, scenario modeling, and drafting the suitability report, leaving final judgment calls to the paraplanner and adviser.

Does a paraplanner still review the report before it goes to the client?

Can this work alongside our existing CRM and document tools?

What happens if a case is missing key client information?

Is this suited to a small financial planning firm or only larger practices?

View more FAQs

Process pain:9.4/10

Mapped by:9 Companies

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Page updated 10 August 2026