Help Center

Introducing "Know Your Client" & New Financial Tracking Fields

03/12/2025

We’ve introduced a new Know Your Client tab within the Overview section of the Contact Details page. This new tab helps you track and manage essential client information such as personal, health, and professional details.

Additionally, we’ve introduced new financial fields under the Financials section, enabling better tracking of client investment strategies, tax details, banking information, and agreements.

What’s New?

1. "Know Your Client" Tab in Contact Overview

The Know Your Client tab centralizes additional client details, including:

• Health Information – Track relevant health details.
• Misc Personal Information – Store additional personal details such as Birthplace, Citizenship, etc.
• Identifications (Moved from "Contact Information" tab) – Organize multiple identification records.
• Employment History – Maintain employment details and career history.
• Keywords – Associate relevant keywords with the client. Manage Keywords.
• Interests – Keep track of personal interests. Manage Interests.
• Primary Contact – Store an additional primary contact source provided by the client.
• Professional Contacts – Track business-related contacts for the client.

2. New Financial Fields in the Financials Section

In addition to the "Know Your Client" tab, we’ve introduced new financial tracking fields under the Financials section.

I. Strategic Allocation Model

Helps advisors determine the optimal long-term allocation of assets for each client.

Tracks a client's investment strategy, including:

• Investment Objective (Manage Objectives)
• Time Horizon
• Experience (Funds, Stocks, Partnerships, Others - in years)

II. Estimated Tax Information (Added to the “Financial Information” card)

Easily track and review estimated tax details for financial planning.

• Tax Year
• Tax Bracket (%)
• Tax Return Confirmed (Checkbox)

III. Banking

Store banking details related to the client’s financial accounts.

IV. Written Agreements Review

Keep track of key agreements between your firm and your clients, ensuring compliance and proper documentation.

• Signed Fee Agreement: The date the client signed an agreement outlining advisory fees and services.
• Signed IPS Agreement: The date the client signed the Investment Policy Statement (IPS), defining their investment strategy.
• Latest ADV Offering: The last date your firm provided the client with Form ADV, required by the SEC and state regulators.
• Last Privacy Offering: The date the client was last provided with your firm's privacy policy.
• IMA/WMA Date: The date of the signed Investment Management Agreement (IMA) or Wealth Management Agreement (WMA).

How to Customize Interests, Professions, Objectives, and Keywords

These fields come with default values, but you can customize them by adding, editing, or deleting values in Settings → Database Lists.

• Manage Interests
• Manage Professions
• Manage Investment Objectives
• Manage Keywords

Need Assistance?

If you have any questions or need help, reach out to support@leadcenter.ai.