Statement of Advice & Suitability Prep

Automating SOA and suitability prep frees advisors to spend time advising, not assembling documents.

37 hrs

Time saved/month

Companies have mapped

About This Automation

Preparing a Statement of Advice and suitability documentation is time-intensive and error-prone when done manually. Advisors spend nearly per SOA retrieving data from multiple systems, validating suitability criteria, and drafting compliance-ready documents.

Automation pulls client data, investment holdings, and suitability findings into a pre-formatted SOA template, validates the recommendation against regulatory requirements, and generates a compliance-ready PDF. Advisors review and approve the output in minutes instead of hours.

Key features

Pull client data, risk profile, and investment history automatically from your CRM and portfolio systems

Validate suitability criteria against client circumstances and flag any conflicts for advisor review

Generate a draft SOA document with all required sections, compliance clauses, and supporting disclosures

Compile and organize supporting documentation such as fee schedules and risk disclosures

Create a suitability sign-off record and log the SOA delivery in your compliance file

How The Automation Works

The full workflow, from trigger to completion.

1. Client Consultation Completetrigger

Workflow is triggered when a client record is marked 'Consultation Complete' and the suitability questionnaire is submitted.

2. Fetch Client & Portfolio Data

The automation platform retrieves client contact, investment goals, risk profile, and current holdings and the portfolio system via API.

3. Validate Suitability Criteria

The automation analyzes the client's risk profile, time horizon, and investment preferences against the proposed strategy to confirm suitability and flag any mismatches.

4. Generate SOA Document

The automation platform populates the SOA template with client data, investment rationale, fees, and suitability findings, producing a draft PDF ready for advisor review.

5. Create Suitability Sign-Off

A suitability checklist is auto-generated and linked to the client record, documenting the compliance rationale and ready for advisor sign-off.

6. Send SOA to Client

The completed SOA PDF is sent to the client with a personalized cover message and instructions for review and acknowledgment.

7. Log Delivery in CRM

The SOA delivery date, document version, and compliance status are recorded, creating an audit trail and triggering any follow-up workflows.

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

37hrs/month

Process pain:7.8/10

Mapped by:6 Companies

Map this to your business to get your exact numbers.

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