Defining the outcomes we will be judged on

• Tell me about the business outcomes you most want advisors to deliver in the next 12 months
• How will you measure success for those outcomes, and which metric moves budgets or staffing Options: Assets under management growth, Advisor time saved per client, Client retention rate, Net new client wins, Revenue per advisor, Other
• Who will be accountable for those metrics day to day Options: Firm owner / CEO, Head of wealth management, Head of technology, Chief of staff / COO, Head of operations, Compliance officer, Other
• Describe the advisor behaviors that must change for those outcomes to be realized
• If a 90 day pilot showed the improvement you need, what decision or approval would that trigger Options: Immediate contract approval, Budget committee review, Legal and compliance review, Phased procurement with board approval, Pilot extension before commitment

How advisors actually spend their day

• When advisors say they are "too busy" to change tools, which part of their daily workflow do you think hides the biggest inefficiency Options: Client meeting prep, Portfolio rebalancing, Performance reporting, Data reconciliation, New business onboarding, Billing and admin
• Walk me through a representative advisor day from first client contact to monthly reconciliation
• Estimate how many discrete applications, spreadsheets, or portals a typical advisor at your firm must use regularly Options: 3 to 5, 6 to 8, 9 to 12, More than 12
• Describe the repeat manual data steps that most often produce errors or require reconciliation
• Which single handoff, for example CRM to planning, custodian to reporting, or model grading, breaks most often and why Options: CRM to planning, Custodian feed to accounting, Model updates to trading, Billing inputs, Custom report generation, Other
• What one failure in the current workflow, if fixed immediately, would make you prioritize a platform change today

Where your integrations and data could stop progress

• If your custodian feeds were delayed for a week, what core processes would you have to pause and which teams would scramble
• List the integration endpoints you depend on today, for example custodians, portfolio accounting, planning engine, or billing
• Do APIs, SFTP, or flat file exports already exist for each listed endpoint, and who internally owns access Options: APIs available and IT owns access, APIs available and vendor owns access, SFTP or file exports only, No programmatic exports available, Partial access with manual processes
• Who would be your technical contact for mapping fields, credentials, and test data
• Identify the single data extract or report that, if unavailable, would stop the pilot from producing meaningful results Options: Account positions with lots and cost basis, Daily custodian transactions, Performance time series by account, Model portfolio allocations, Client demographic and goals data, Other

The people who will greenlight or block this

• Name the leader most likely to block the program even if a pilot shows good results, and tell me their primary concern
• List the approvals, committees, or legal checks that must sign off before a contract can be executed Options: Board approval, Budget committee, Legal review, Compliance signoff, Technology architecture review, Procurement
• Outline the pilot advisor profile you want, including AUM range, service model, tech comfort, and team support
• Estimate the internal bandwidth, in full time equivalent weeks, your operations and IT teams can commit to setup and testing Options: Less than 2 weeks, 2 to 4 weeks, 4 to 8 weeks, More than 8 weeks
• Could compliance or legal impose changes to audit logs or data residency that would stop go live Options: Yes, likely, Possible with mitigation, Unlikely, No

Migration tradeoffs, scope, and cost choices

• Suppose every legacy account required full position history and cost basis normalization, would you accept a longer timeline or a higher budget Options: Longer timeline only, Higher budget only, Both acceptable, Neither acceptable
• Identify which legacy data sets must be migrated before go live and which can be staged over time Options: Client profiles and goals, Account positions and cost basis, Model portfolios, Performance history, Billing history
• How many client records, accounts, and model portfolios should be included in the pilot to prove value for your stakeholders Options: Small sample 5 to 25 advisors, Medium 25 to 100 advisors, Large pilot over 100 advisors
• Which migration risks, for example data quality, mapping ambiguity, or custodian mismatches, concern you most Options: Data quality and normalization, Field mapping ambiguity, Custodian account mismatches, Incomplete historical transactions, Timing and cutover risk
• Would you prefer a smaller first pilot with full fidelity or a broader pilot with limited history Options: Smaller full fidelity, Broader limited history, Hybrid phased approach

Will advisors use this and what actually moves them

• When senior advisors resist swapping tools, is it about time, client risk, or the way compensation is tied to current workflows Options: Time and learning curve, Perceived client risk, Compensation and performance metrics, Loss of customized processes, Other
• Tell me which training formats have driven adoption at your firm, for example peer led sessions, centralized workshops, one on one coaching, or shadowing Options: Peer led, Centralized workshops, One on one coaching, Shadowing and ride alongs, On demand materials
• Explain the incentives or consequences that have historically changed advisor behavior at your firm
• On a scale from 1 to 5, how willing are your pilot advisors to change their CRM or reporting habits for a clearer client experience Options: 1, 2, 3, 4, 5
• Should pilot adoption fall below 60 percent active use, would you pause, re scope, or continue with a longer change program Options: Pause and re plan, Re scope for smaller wins, Continue with extended support plan, Stop the program

Obstacles, real risks, and who owns them

• Name the one program risk that, if realized, would make you stop the project immediately Options: Custodian blocks test access, Major data loss during migration, Regulatory objection, Pilot advisor refusal to adopt, Cost doubling beyond budget
• Provide the operational or regulatory gates that typically delay similar rollouts here, with examples and average delays
• Are there contractual or custody agreements that would prevent us from opening test accounts or accessing sample data Options: Yes, strict restrictions, Some restrictions with approvals, No significant restrictions, Unsure
• Report the typical hours or dollars your team spent resolving the last major integration failure Options: Less than 40 hours, 40 to 160 hours, 160 to 400 hours, More than 400 hours, Prefer not to disclose
• Should a custodian refuse test credentials, would that stop the pilot or require an alternate plan Options: Stop the pilot, Switch to a reduced scope pilot, Use synthetic or historical data, Negotiate limited access

What options are you weighing against this

• Imagine a do nothing outcome, would leadership most likely stick with the existing toolset, approve an internal project, or move to a different vendor Options: Stick with current tools, Approve internal build, Switch to a competing vendor, Undecided
• Provide the competitors or internal options you have evaluated so far, with the pros and cons you saw for each
• What would need to be true about your current approach for you to stay with it instead of switching
• Has anyone proposed solving this problem internally, and if so who would own that project and what budget was estimated Options: Yes internal team proposed and budget estimated, Yes internal but no budget estimate, No one has proposed internal solution, Unsure
• Would a migration free promise from the incumbent be enough to stop your change, or do you expect other factors would still push you to switch Options: Migration free would stop us, Not sufficient alone, Depends on reporting parity, Unsure

Acceptance criteria, gatekeepers, and next steps

• Assuming the pilot hits your success metrics, what is the fastest realistic path to a signed agreement and deployment timeline Options: Sign within 2 weeks and deploy in 4 to 8 weeks, Sign in 1 month and deploy in 8 to 12 weeks, Longer procurement with phased deployment, Other
• State the specific metric thresholds, for example advisor adoption percentage, reconciliation accuracy, or time saved, that must be met to consider the pilot successful
• Specify the people who must sign the acceptance certificate to move from pilot to paid rollout and who approves budget
• Specify the non negotiable compliance items that must be included before rollout Options: Audit log retention policy, Data residency controls, Record keeping for recommendations, Surveillance and suitability reports, Encryption and access controls
• By when do you expect a final decision and what blockers could push that date beyond 90 days Options: Decision in 30 days, Decision in 60 days, Decision in 90 days, Longer than 90 days

• Solution Experience Session

• Confirm the current state and its cost to your team
• You confirm the demonstrated workflow eliminates the manual data transfers and reduces advisor administrative steps you described.
• Deliver a tailored run of the demonstrated advisor scenario using buyer-provided sample data and provide a migration impact estimate.
• You agree that the shown integration approach and migration assumptions address your custodian and data-migration risk constraints.
• Walk an advisor lifecycle scenario end-to-end
• Provide an anonymized representative advisor case and sample account data for the tailored run.
• You identify the remaining evidence and acceptance criteria required to progress to a scoped pilot.
• Demonstrate integration and migration handling for custodian data
• Identify the pilot advisor list and target decision timeline.
• Review pilot acceptance criteria and advisor adoption measures
• Prepare a draft pilot acceptance criteria document based on today's validation and share before the next session.
• Validate: Is this what you meant when you said you needed fewer manual transfers, stronger custodian integration, and consistent advisor-client workflows?

• Solution Experience Session
• Solution Experience Deck
• Solution Brief

• meeting
• slides
• document

• Migrate CRM Records
• Import Client and Account Data
• Configure Custodian Connectivity
• Integrate Financial Planning Engine
• Build Model Portfolio Library
• Configure Automated Rebalancing
• Create Investment Proposal Templates
• Configure Performance Reporting and Statements
• Deploy Branded Client Portal
• Enable Secure Messaging and Document Sharing
• Set Up Billing and Fee Invoicing
• Implement Compliance Surveillance and Suitability Rules
• Migrate Historical Holdings and Performance
• Provision Advisor and Staff Accounts with Permissions

Migrate CRM Records

• How many contact and household records need to be migrated from your current CRM? Options: Less than 1,000, 1,000-5,000, 5,000-25,000, More than 25,000
• What format are the CRM exports and please list example field names (for example CSV with household IDs, JSON export with advisor_id)? Options: CSV export, API export, Database dump, Mixed formats
• Do you require deduplication and householding rules such as fuzzy match on name plus date of birth or match on account number? Options: Yes, No, Need recommendation
• Which fields must be preserved exactly during migration (for example KYC date, client risk score, advisor assignment, compliance tags)?
• What acceptance criteria will confirm the CRM migration is complete (for example 99% advisor assignments match, duplicate rate under 1%)?
• Who will be the primary reviewer for migrated CRM records and which audit log format do they require for sign-off?

Import Client and Account Data

• How many accounts and client records must be imported, broken down by household and custodian account? Options: Under 1,000 accounts, 1,000-5,000 accounts, 5,000-20,000 accounts, More than 20,000 accounts
• Which export formats will you provide for account data (for example position-level CSV, transaction activity CSV, or custodian API feeds)? Options: Position CSV, Activity CSV, Custodian API export, Other
• Are there special account types to map such as IRAs, trusts, wrap accounts, or advisory broker-dealer accounts and what labels should they carry? Options: Yes, No
• What is the acceptable data accuracy threshold for balances and positions on go-live (for example 99% balance parity)? Options: 95%+, 97%+, 99%+, Other
• Which unique identifiers should be used to reconcile accounts (for example custodian account number, client tax ID, account alias)? Options: Custodian account number, Client tax ID, Account alias, Custom identifier
• Who will supply historical activity files and what date range should be imported for reporting purposes?

Configure Custodian Connectivity

• Which custodian endpoints must be connected and do you have API keys or will a managed connector be required? Options: We have API keys, Managed connector required, Partial coverage
• What data latency is acceptable for account refreshes (for example near real-time, hourly, daily) and which account types require the fastest refresh? Options: Near real-time, Hourly, Daily, Weekly
• Do any custodians require certificate-based authentication, site-to-site VPNs, or additional network allow-listing? Options: Yes - certificate, Yes - VPN, Yes - IP allow-list, No
• Provide the list of test account numbers and sample API or FIX response files we can use for connector validation.
• What evidence will validate successful custodian connectivity for a pilot advisor (for example live balances and transactions for 10 accounts with matching timestamps)?
• Who will own ongoing custodian relationship issues and what ticketing SLA should apply to connector incidents?

Integrate Financial Planning Engine

• Which planning engine outputs will you ingest such as cashflow projections, goal gap analysis, and tax-aware projections? Options: Cashflow projections, Goal gap analysis, Tax-aware projections, All of the above
• Do you require two-way sync of plan assumptions (for example risk tolerance, salary, retirement date) between the platform and the planning engine? Options: Two-way sync, One-way (engine->platform), One-way (platform->engine), No sync
• What mapping rules should apply to plan assumptions and which fields must remain authoritative in the planning engine?
• Which client households should be included in the planning pilot (for example top 10 revenue households, HNW over $5M)? Options: Top revenue households, High-net-worth >$5M, Advisors' nominated clients, All clients
• Identify any custom calculations or firm-specific tax rules that must be supported inside the planning engine.
• Who will validate plan outputs and which report formats are preferred for advisor review (for example PDF packet, interactive web view)? Options: PDF packet, Interactive web view, Both

Build Model Portfolio Library

• What count of model portfolios must be created initially and what naming convention should be used?
• Which model inputs will you supply such as asset allocation targets, ticker weightings, and tax lot preferences?
• Indicate if a performance track record is required for each model and provide the required lookback date and benchmark.
• What approval workflow do you want for model changes and which roles can publish a model to advisors? Options: Single approver, Two-step approval, Committee approval, No formal approval
• Which custodial sleeves or account types should map to each model for trade execution and reporting purposes?
• Who will supply model compliance constraints such as maximum sector weight or ESG exclusions for each model?

Configure Automated Rebalancing

• What rebalancing cadence do you require per model such as daily, weekly, monthly, or drift-threshold driven? Options: Daily, Weekly, Monthly, Threshold-driven
• Which drift or threshold rules should trigger trades for each model (for example 5% drift, cash trigger, tax-loss harvesting parameters)?
• Are partial fills, lot-level selection, or specific tax-lot strategies required to meet your tax accounting practices? Options: Partial fills allowed, Lot-level selection required, Specific tax-lot strategy required, No special requirements
• What trade-routing and soft-dollar restrictions must the rebalancer respect for wrap accounts or model sleeves?
• Would you like a simulated dry-run of rebalancing for the pilot with a proposed trades report and estimated tax impact? Options: Yes, No
• Who will be authorized to approve automated rebalance batches and what alerting cadence should be set for review?

Create Investment Proposal Templates

• Which proposal types should be templated such as new client proposals, model change proposals, and retirement projections? Options: New client, Model change, Retirement, All
• What brand assets will you provide for proposals such as logo SVG, color HEX codes, and advisor headshots?
• Do proposals require dynamic fee schedules and breakpoint displays that auto-populate by household? Options: Yes - dynamic fees, No - static fees, Need recommendation
• Which compliance disclosures must appear on each proposal and do you have templated legal text we should use? Options: Yes - provide text, No - require template creation, Use standard text
• What data fields from the client profile must auto-populate into proposals (for example net worth, risk tolerance, existing holdings)?
• Who will own proposal template versioning and what rollback retention period should be preserved for audits (for example 24 months)?

Configure Performance Reporting and Statements

• Which report templates do you require such as quarterly statements, performance summaries, or fee reconciliation reports? Options: Quarterly statements, Performance summaries, Fee reconciliation, All
• What performance accounting conventions should reports use (for example time-weighted return, money-weighted return) and which should be primary? Options: Time-weighted, Money-weighted, Both
• Indicate whether custom benchmarks are required per account or per model and explain how those benchmarks are defined.
• What statement distribution channels are required such as secure portal delivery, encrypted PDF email, or custodian overlays? Options: Secure portal, Encrypted PDF email, Custodian overlay, Other
• Specify whether client-level fee schedules and net-of-fee performance calculations must appear on statements. Options: Yes - net-of-fee, Yes - gross and net, No
• Who will sign off on quarter-end reporting packages and what maximum lag from quarter close is acceptable for report availability?

Deploy Branded Client Portal

• Which branding assets will you provide for the client portal such as logo files, brand guidelines PDF, and custom domain details?
• What single sign-on method will advisors and clients use for the portal such as SAML 2.0, OAuth2, or native credentials? Options: SAML 2.0, OAuth2, Native credentials, Other
• Would you like portal widgets enabled such as secure document library, interactive performance graphs, and goal trackers? Options: All widgets, Select widgets, None
• What client groups should have early access in the pilot for portal testing (for example top 20 clients by AUM or advisors' top households)?
• List any document retention or e-discovery policies and the retention periods required (for example 7 years, 10 years).
• Who will manage portal user provisioning and which roles should exist (for example client viewer, joint owner, advisor)?

Enable Secure Messaging and Document Sharing

• Which messaging channels must be supported including in-portal messages, secure email, or SMS with two-factor authentication? Options: In-portal messages, Secure email, SMS 2FA, All
• What retention and encryption standards are required for message history such as AES-256 at rest and TLS in transit?
• Specify whether clients must be able to upload documents and list required file types and maximum file sizes.
• Which advisors should be notified on client document uploads and what escalation workflow should trigger for unreviewed documents after 3 business days?
• Confirm whether you are subject to secure messaging regulations (for example FINRA or SEC rules) that require archiving or examiner access. Options: Yes - FINRA, Yes - SEC, Yes - other, No
• Who will be responsible for message monitoring and what tag-based folders or labels should be created for compliance review?

• Subscription Agreement
• Order Form
• Master Services Agreement (MSA)
• Statement of Work (SOW)
• Data Processing Agreement (DPA) — Financial Services Trigger
• Service Level Agreement (SLA)
• Pilot & Rollout Acceptance Addendum
• Change Order Agreement

• Go-live Health Check (weeks 1-4)
• First Outcomes Measurement (weeks 4-10)
• Acceptance Gate Review (around day 90)
• Quarterly Realization and Backlog Review

• Close or reassign any remediation items older than the agreed SLA and report status in the next operational update.
• Publish the dataset and dashboard queries that will be used for the Acceptance Gate review.
• Restate acceptance criteria and numeric targets
• Record a formal acceptance decision with pass/fail status for each criterion recorded in Solution Scope and capture the named buyer approver's signatory decision.
• Confirm the incumbent system wind-down approach and the date when the legacy system becomes read-only or is decommissioned.
• Create a remediation timetable for any conditional or failed criteria with clear verification steps.
• Publish the Acceptance Gate decision document listing pass/fail per criterion and the named buyer approver.
• If incumbent is to be decommissioned, schedule the cutover to read-only and archive procedures and confirm contract/renewal handling for the legacy system.
• Deliver remediation plans for any failed criteria with milestones and verification instructions.
• Adoption and value trend review
• Confirm whether advisor weekly active users and hours per advisor per week saved on manual reporting are progressing toward the targets recorded in Solution Scope.
• Prioritize the shared backlog for the next quarter with owners and target delivery windows.
• Ensure compliance exceptions have owners and remediation dates to reduce operational risk.
• Publish the prioritized backlog with owners, target delivery windows, and acceptance criteria for each item.
• Schedule focused training or workflow adjustments for advisor cohorts showing low weekly active usage.
• Re-confirm acceptance criteria and owners
• Confirm the deployment is functionally complete and data migration has no critical gaps on sampled records.
• Document all critical open issues with owners and target remediation dates.
• Establish hypercare action plan and communication channel for daily status until the Acceptance Gate.
• Produce a deployment validation checklist showing sample reconciliations and custodian connectivity logs for review.
• Provide a list of pilot advisors who still need portal access or training and schedule targeted sessions.
• Log and prioritize critical defects in the shared backlog with proposed temporary workarounds.
• Present first 4–8 week data for named metrics
• Determine whether advisor weekly active users and custodian sync success rate are on track to meet the targets recorded in Solution Scope.
• Agree a prioritized set of corrective actions with completion dates to close gaps before the Acceptance Gate.
• Confirm data sources and dashboards that will be used for the Acceptance Gate reporting.
• Fix account mapping issues identified in the custodian sync and validate success rate with a follow-up run.
• Schedule focused advisor enablement sessions for pilot advisors underperforming on weekly active usage.
• Present final outcome data against each criterion
• Compliance and exceptions review
• Deployment and migration validation
• Root-cause diagnosis for gaps
• Document pass or fail and capture formal acceptance decision
• Early adoption signals and onboarding status
• Shared backlog triage and prioritization
• Risk assessment for acceptance timeline
• Blockers and defect triage
• Agree corrective actions and owners
• Status check on outstanding remediation items
• Incumbent system wind-down confirmation
• Agree immediate remediation actions
• Agree remediation items and timelines for any failed or conditional criteria
• Agree quarterly commits and review cadence