Advisor note templates

Overview

Advisor Notes Templates help you standardize documentation across your investment advisory workflow, ensuring consistency and compliance. Templates are available for all advisor note fields throughout the advisory process, providing advisors with structured guidance on what to document at each stage.

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What you can do

• Create standardized templates for all advisor note fields in the advisory workflow
• Add dynamic content that adjusts based on client context (e.g., risk level). Available in the purpose and risk page
• Guide advisors on what information to document at each stage
• Ensure consistent documentation across your advisory team
• Embed compliance requirements directly into the workflow

Key features

Universal coverage

Templates can be applied to any advisor note field within the investment advisory workflow, from initial client meetings through portfolio construction and follow-up.

Dynamic content support

For advisor notes on the Purpose and Risk page, you can include dynamic text that automatically adjusts based on the selected risk level. This ensures documentation stays relevant to each client's risk profile without manual editing.

Example: A template might automatically include different risk disclosures for conservative versus aggressive portfolios.

Common use cases

Guiding advisor documentation

Provide clear prompts about what information should be captured at each stage of the advisory process. Helps newer advisors understand documentation expectations.

Example: A template for the initial meeting note might prompt: "Client's investment experience: [describe]. Primary financial goals: [list]. Time horizon: [specify]."

Standardizing team communication

Ensure all advisors document client interactions in a consistent format, making it easier for team members to review cases and maintain continuity when clients work with multiple advisors.

Ensuring compliance

Embed regulatory requirements and internal guidelines directly into documentation templates, reducing the risk of missing required disclosures or information.

Example: Automatically include mandatory risk warnings or suitability assessment criteria in relevant templates.

How to user advisor note template

The video below shows how you can access the advisor note templates, when configured correctly:

Tips and best practices for admins

• Start with high-impact areas: Begin by templating the most critical or frequently-used advisor notes before expanding to all fields
• Balance structure with flexibility: Provide guidance without being overly prescriptive—advisors still need room to capture client-specific details
• Review and iterate: Collect feedback from advisors after implementing templates and refine them based on real-world use
• Update for regulatory changes: Review templates regularly to ensure they reflect current compliance requirements
• Use dynamic content strategically: Reserve dynamic content for situations where context truly changes the required documentation (like risk disclosures), not for every template

Common questions

Q: Can advisors override or add to template content?

A: Yes. Templates only fills the advisor notes, and advisors are free to adapt if necessary.

Q: Are templates mandatory, or can advisors choose whether to use them?

A: They are optional to use.

Q: Can different teams or departments have different templates?

A: No, the templates are created on a global level on your template.

Q: What happens to existing advisor notes when I create a new template?

A: Existing advisor notes are kept. However, if you select to use the template, old data will be overridden.

Q: How does dynamic content work for fields other than risk level?

A: We currently only support dynamic content for risk levels.

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Updated on: 30/09/2025