Statement of Advice & Suitability Prep

Cut the document assembly grind so advisers spend more time advising and less time copying data between systems.

111 hrs

Time saved/month

Companies have mapped

About This Automation

Preparing a statement of advice requires advisors to manually gather client data, investment details, and suitability evidence from multiple sources, then copy everything into a template document. This fragmented workflow is time-consuming, error-prone, and delays client delivery.

Automation assembles the complete SOA by extracting client information from the CRM, pulling investment recommendations, and compiling suitability evidence into a formatted document ready for review. Advisors focus on the narrative and compliance sign-off instead of data entry.

Key features

Extract client data and investment profile from your CRM automatically

Compile suitability evidence from fact-find responses and client notes

Populate SOA template with consistent formatting and compliance checks

Flag missing documentation before the advisor sends the draft

Generate same-day delivery without manual rework cycles

How The Automation Works

The full workflow, from trigger to completion.

1. Fact-Find Marked Completetrigger

Workflow triggers when an advisor marks a client fact-find as complete. Client ID and fact-find data are passed to the automation.

2. Fetch Client & Portfolio Data

Automation pulls client contact details, investment profile, risk tolerance, and portfolio recommendation and. All data is retrieved in one batch.

3. The automation Extracts Suitability Evidence

The automation reviews fact-find responses, meeting notes, and client profile to identify and summarize suitability evidence. It flags any gaps in documentation.

4. Suitability Evidence Complete?

If evidence is sufficient, proceed to document generation. If gaps are found, route to advisor for manual input.

5. Generate SOA Document

Automation populates the SOA template with client data, recommendations, and suitability reasoning. Formatting and branding are applied automatically.

6. Send SOA

Automation sends the completed SOA to the client for e-signature. A unique signing link is generated and tracked.

7. Notify Advisor

Automation sends a notification to the advisor confirming the SOA has been sent and providing a link to track signature status.

4 reasons to map this process

It's completely free

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You get a complete build plan

A visual process map, automation spec, delivery timelines, and everything needed to build it, customized to your workflow and tools.

You see your real numbers

Custom pricing, ROI projection, and payback timeline based on your actual process, not industry averages.

There's no obligation to build

78 hrssaved/month

13times mapped

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Frequently asked questions

Everything you need to know before mapping this process.

My process is slightly different from this. Can I customize it?

This template is a starting point based on how other businesses handle this type of work. When you map your process, you describe exactly how your team does it and the automation is built around your workflow, not a generic template.

Is this really free?

What do I actually get from the mapping session?

Does this work with the tools my team already uses?

What happens after I map my process?

Do I need to prepare anything before starting?

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Estimated Time Saving

111hrs/month

Process pain:8.2/10

Mapped by:5 Companies

Map this to your business to get your exact numbers.

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