Wealth management client intake workflow

Answers are general operational information only — not legal, tax, regulatory, clinical, privacy, immigration, or professional advice. Requirements vary by matter, client, and regulator.

Frequently asked questions

Who should own the intake checklist?

Many boutiques assign operations to manage checklist status while the principal approves KYC items and planning readiness.

Can multiple team members access one household file?

Yes. Co-agent workflows let associates and principals work on the same client record with scoped access.

Does Hivi-X provide trade supervision?

No. Trade supervision and OMS integration are out of scope. Hivi-X handles document intake only.

More Financial Planning guides

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