Salesforce Advisory & Family Office Workflow Solution

A configurable Salesforce platform to digitize advisor/investor onboarding, family relationship mapping, fee consents, reviews, engagement, and MIS—end-to-end.

Who this is for

This solution is designed for BFSI institutions offering advisory and family office services (HNI/UHNI focused) that need a unified workflow engine for:

• Advisor/investor onboarding (lite-touch and high-touch)
• Family relationship tracking and servicing
• Fee consent governance and approvals
• Periodic reviews, engagement tracking, and MIS visibility

Typical Users/Stakeholders

• Relationship Managers (RMs) and Senior RMs (SRMs)
• Family Office RMs and supervisors
• Operations and onboarding teams
• Risk / Compliance teams
• Business leadership (service quality, productivity, and adoption dashboards)

A single Salesforce-based platform to run advisory and family office journeys with structured stages, automated tasking, and audit-ready approvals including:

• Lite-touch onboarding for lower complexity / minimal-interaction onboarding
• High-touch onboarding for HNI/UHNI journeys with deeper support and governance
• Family office investor onboarding with family relationship mapping and RM collaboration
• Dynamic task assignment (RM/SRM and family office RM task orchestration)
• Voice-to-text interaction logging for fast and consistent activity capture
• Fee consent workflows with approval automation for multiple fee structures
• Risk profile and fee waiver workflows with compliance controls
• eNACH approval workflow (digital approval journey)
• Quarterly review notifications, reminders, follow-ups, and engagement tracking
• MIS reporting + usage dashboards + mobile-ready execution

Advisory and family office operations often struggle with:

• Onboarding that varies by RM/team, leading to an inconsistent client experience
• Manual follow-ups and missed checkpoints during onboarding
• Limited visibility into family relationships and household-level context
• Fee consents are handled through fragmented email approvals and documents
• Reviews and follow-ups are not systematically tracked (risk of service gaps)
• Leadership is lacking real-time MIS for onboarding progress, bottlenecks, and adoption

Salesforce acts as the system of record + workflow engine across advisory and family office teams:

• Central Client/Investor 360 + relationship mapping (family/household constructs)
• Workflow automation for onboarding stages, tasks, checklists, approvals, notifications
• Interaction capture (activities + voice-to-text notes) and interaction summaries
• Dashboards for business outcomes, operational SLAs, and adoption visibility
• Optional marketing layer for campaigns and targeted investor engagement

1) Advisory & Investor Onboarding (Lite-touch vs High-touch)

Purpose: Standardize onboarding journeys based on ticket size/complexity.

Key Capabilities

• Lite-touch onboarding for minimal interaction journeys
• High-touch onboarding with structured steps, richer checkpoints, and escalations
• Automated stage transitions and controlled handoffs between RM/BO teams

2) Family Office Onboarding & Servicing Enablement

Purpose: Onboard and service investors within a family office construct.

Key Capabilities

• Family Office investor onboarding workflow
• Automated task creation for Family Office RMs
• Email reminders for follow-ups and ongoing engagement

3) Family Relationship & CRN Mapping

Purpose: Track investor relationships at the household/family level for better servicing.

Key Capabilities

• Family CRN mapping to associate family identifiers with investor accounts
• Central contact management for investor and family context
• Improved tracking and service continuity across family members

4) Task & Interaction Management (RM/SRM productivity)

Purpose: Improve execution discipline and create a reliable client engagement trail.

Key Capabilities

• Dynamic task assignment to RMs and SRMs based on workflow stages
• Voice-to-text enablement for fast interaction logging
• Family office interaction management (structured capture and follow-ups)

5) Fee Consent & Commercial Governance (Approvals)

Purpose: Create audit-ready fee consent and commercial approvals.

Key Capabilities

• Custom approval workflows for fee documents (with email support)
• Automated fee consent workflows across multiple fee structures, including:
• 1) Fixed fees
• 2) Fixed + flat fees
• 3) Standard fees
• 4) AUM-wise slab / flat fee
• 5) AUM slot-wise
• 6) Asset-class-based
• 7) AUM-wise asset-class & slab
• Fee waiver workflow with approvals and visibility

6) Risk Profile Workflow

Purpose: Ensure suitability and compliance checkpoints are embedded into the journey.

Key Capabilities

• Risk profile workflow and governance controls
• Review/approval steps were required
• Linkage to onboarding stages and service readiness

7) eNACH Approval Workflow

Purpose: Digitize approvals for mandate registration and related onboarding steps.

Key Capabilities

• eNACH approval workflow with stage gating
• Task orchestration and reminders to reduce turnaround time

8) Engagement & Communication (Campaigns + Reviews)

Purpose: Keep clients engaged and service-ready post onboarding.

Key Capabilities

• Quarterly review notifications with automated reminders
• Campaign management for targeted investor engagement
• Email notifications and seamless digital workflows to keep stakeholders aligned

9) MIS Reports, Business Dashboards & Mobile Access

Purpose: Provide real-time visibility and enable “anywhere” execution.

Key Capabilities

• MIS reports for onboarding progress, bottlenecks, and productivity
• Business & usage dashboards for performance and adoption
• Mobile app access for RM execution and visibility

• Workflow-driven stage model for onboarding journeys (lite/high touch)
• Approval framework for fee consent, risk-related approvals, waivers, and mandate steps
• Activity capture pattern with voice-to-text interaction logging
• Notification and reminder framework for reviews, follow-ups, and SLA adherence
• Import/upload utilities for periodic business data where required (e.g., client master, fees, AUM/AUC, RM mapping)

• Onboarding funnel: lite-touch vs high-touch conversion and ageing
• Pending tasks by owner/queue (RM/SRM/Family Office RM)
• Fee consent approvals: pending/approved/rejected/expired
• Risk profile completion and exceptions
• Quarterly review due dashboard and follow-up completion
• Campaign performance and engagement reporting
• Adoption dashboard: active users, activity capture, stage completion rates

• Faster and more consistent onboarding through automated tasking and stage governance
• Better client experience via structured lite/high-touch journeys
• Improved household/family visibility through CRN mapping
• Stronger compliance posture with approval trails for fee consent, waivers, and risk steps
• Higher RM productivity via voice-to-text logging and mobile access
• Real-time MIS visibility for leadership and operations teams

• Client portal for onboarding document exchange and request tracking
• Enhanced interaction summaries (AI-assisted) and pre-meeting prep notes
• SLA-based escalations and exception queue for stuck onboarding
• Data stewardship dashboards (duplication, completeness, stale contacts)
• Integrations with eSign/KYC/communication platforms as required