Industry-specific solutions
Systems for financial services.
Win and onboard clients with less paperwork. Connect enquiries, fact-finds, compliance checks and review meetings so advisers spend more time with clients.
- Financial advisers and planners
- Wealth managers
- Mortgage and protection brokers
- Accountancy practices
What gets in the way
Where financial services businesses lose time.
The same three problems come up again and again. Each one has a fix that does not depend on anyone remembering.
Client information collected by email
A new client gets a form to fill in and a list of documents to send. Replies arrive in pieces, someone retypes the answers, and the first meeting starts with half the picture.
One secure link collects the forms and the documents, and the answers land on the client record.
Compliance steps tracked in spreadsheets
Identity checks, sign-off and file reviews live in a tracker that one person keeps up to date. Nobody is sure a file is complete until someone opens it and looks.
Each check is a step on the case, showing who completed it and when.
Key dates depend on someone remembering
Review dates, product end dates and filing deadlines sit in a calendar or a report someone has to run. When the team is busy the reminders go out late and the work is rushed.
Every date starts its own reminders and preparation, well ahead of time.
How it connects
One connected workflow.
Choose your kind of business. Each step hands over to the next automatically, with your team stepping in where judgement matters.
- 01
Client enquiry
An enquiry from your website, a referral or a phone call becomes a client record straight away, with its source attached.
The system
- Creates the record and logs where it came from
- Routes it to the right adviser by need or region
- Offers a time for the first call
Your team
The adviser joins a booked call with the background already in front of them.
- 02
Fact-find and authority
The client completes the fact-find online, uploads documents and signs letters of authority through a secure portal.
The system
- Sends the fact-find and a document checklist
- Tracks each letter of authority sent to a provider
- Reminds the client, and flags providers that have not replied
Your team
The adviser and paraplanner start from a complete file. Nobody has to chase for it.
- 03
Advice and sign-off
The checks your firm requires become steps on the case, so it does not move on until they are done.
The system
- Shows which checks are outstanding on each case
- Records who completed each step and when
- Passes the case between adviser, paraplanner and administrator
Your team
The adviser gives the advice and your compliance lead signs off. Those decisions stay with people.
- 04
Annual review
Every client has a review date, and the work to prepare for it starts before the adviser has to think about it.
The system
- Books the review ahead of the due date
- Gathers the year’s notes and documents
- Drafts the follow-up for the adviser to check
Your team
The adviser runs the meeting and approves what goes out afterwards.
- 01
Client enquiry
An enquiry is captured with what the client wants to do: buy, remortgage or arrange cover.
The system
- Creates the record and logs where it came from
- Asks the first questions before the call
- Offers a time with the right adviser
Your team
The adviser joins a booked call knowing what the client is trying to do.
- 02
Fact-find and documents
The client completes the fact-find and uploads ID, payslips and bank statements through a secure portal.
The system
- Sends the fact-find and a document checklist
- Reminds the client about anything missing
- Files everything on the case
Your team
The adviser researches and recommends from a complete file.
- 03
Application to completion
Each case is tracked from decision in principle through application, valuation and offer to completion.
The system
- Shows the stage of every live case
- Updates the client as the case moves on
- Flags cases that have not moved
Your team
Your team handles lender queries and anything out of the ordinary.
- 04
Product end date
The end date of every deal is on the record, so the next conversation starts before the rate runs out.
The system
- Logs the end date when the case completes
- Contacts the client well ahead of it
- Books the review call
Your team
The adviser reviews the options with the client, including their cover.
- 01
Client enquiry
An enquiry is captured with the kind of client and the services they need.
The system
- Creates the record and logs where it came from
- Asks about the business and its current accountant
- Offers a time for the first call
Your team
A partner or manager takes the call and agrees the work.
- 02
Onboarding
Everything needed before work can start is requested, signed and filed in one flow.
The system
- Sends the engagement letter for signing
- Collects ID for your client due diligence checks
- Tracks professional clearance and tax agent authorisation
Your team
Your team completes the risk assessment and decides whether to act.
- 03
Records and deadlines
Every job has a filing deadline, and the request for records goes out early enough to meet it.
The system
- Asks each client for their records ahead of the deadline
- Chases until they arrive, then stops
- Shows every job against its deadline
Your team
Your team does the accounts and returns without stopping to chase.
- 04
Approval and filing
The client sees what they are approving and signs it online, so finished work does not wait in an inbox.
The system
- Sends accounts and returns for approval
- Reminds the client until they have signed
- Records the approval on the job
Your team
Your team reviews the work and files it.
What we build
Everything we can fix for financial services.
Few businesses need all of it. We scope the build around what you already have and what is costing you most.
Growth systems
Funnels, CRM and follow-up. Every enquiry has a next step.
- Website and enquiry formsA site that explains what you do and sends every enquiry to the right person, with its source attached.
- Qualified bookingA few questions sort enquiries by need before they book, so your team speaks to people it can help.
- Client and case pipelineOne record per client, from first enquiry through every case, review and renewal.
- Introducer and referral trackingSee which accountants, solicitors and clients send you work, and keep them updated on what they referred.
Automation
Connected workflows. Less repetitive work for your team.
- Onboarding packsClient agreements, engagement letters and ID requests sent, signed and filed in one flow.
- Document chasingReminders go out until the fact-find, payslips or records arrive, and stop when they do.
- Provider and lender trackingLetters of authority and applications tracked, with a prompt to your team when a reply is overdue.
- Key-date triggersReviews, product end dates, renewals and filing deadlines each start their own reminders and tasks.
- ReportingPipeline, reviews due, case status and outstanding checks in one live view.
Custom software
Dashboards, portals and tools. Built for the way you operate.
- Client portalA secure place for clients to complete forms, upload documents, sign and see what you still need.
- Case trackerOne workspace for every live case, with tasks passing between adviser, paraplanner and administrator.
- Introducer portalA sign-in for introducers to send referrals and follow their progress.
AI systems
Your business knowledge. Put to work with human oversight.
- Call answeringCalls are answered when the team is busy. The reason is logged and a call-back is booked. No advice is given.
- Website chatAnswers general questions about your services and books a call. Anything about a client’s own money goes to a person.
- Meeting notesA meeting becomes a file note, a task list and a draft follow-up for a person to check.
- Knowledge assistantAnswers your team’s questions from your own procedures and templates, and shows where each answer came from.
How we build
Built for work that gets reviewed.
A system in financial services has to stand up to a file review. These are the rules we build to.
Compliance stays with your firm. We build the system around your process and do not give regulatory advice.
See our approachPeople approve the sensitive steps
Automation prepares the work. Sign-off, advice and anything sent to a client in your name wait for a person.
A record of every step
Each check, document and change is logged with who did it and when, so a file can be reviewed without piecing its history together.
Access by role
Advisers, paraplanners, administrators and compliance each see what their job needs. Clients only see their own file.
Built in your accounts
The system and its data sit in accounts in your firm’s name. Hosting and retention are agreed with you in the written scope.
A related build
MRM Group
A connected acquisition, deal and delivery system for a hands-off property operation.
MRM Group is a property investment company, not an advice firm. It is shown here because the build solves a similar problem: a regulated journey with documents, agreements and sign-off at every stage, where a person approves each financial promotion.
- A public funnel connected to GoHighLevel
- An authenticated internal command centre for clients, deals and tasks
- Client and deal workspaces with agreement-before-payment flows
Do we have to replace our CRM or back-office system?
No. We start with what you already use. Where your current system does the job, we connect to it as far as it allows and build around the gaps. We only suggest replacing a tool when it is the thing holding you back.
Will the system make us compliant?
Compliance stays with your firm. We build to your process: the checks you require, who signs them off and a record of each step. We do not give regulatory advice, and we scope the work with your compliance lead involved.
Does AI give advice to our clients?
No. AI is used to prepare work: summarising meeting notes, drafting follow-ups and finding answers in your own documents. A person reviews anything before it reaches a client, and advice stays with your advisers.
Where is client data held?
In accounts in your firm’s name, with access set by role. Hosting, retention and who can see what are agreed with you and written into the scope before anything is built.
How long does it take, and what does it cost?
Both depend on the scope. We start with an audit of how your firm works now, then give you a written scope with the systems, integrations and measures we will judge the build by. Nothing is built until you have agreed it.
Guides
Guides for financial services businesses.
7 decisions to keep human in an AI workflow
What AI should prepare but never decide, and how to keep review fast.
Read the guideGUIDEWhat an AI knowledge assistant needs to be accurate
How to choose, clean and structure the documents behind it.
Read the guideGUIDECRM migration without losing data
The checklist, the data that usually goes missing and how to prove nothing was lost.
Read the guideLet’s map your financial services workflow.
Tell us where you are and what is getting in the way. We will scope it before anything is built.