CRM FAQ Database

FAQ Topics:

• General CRM 
• Contacts 
• Accounts 
• Pipelines/Tickets
• Dashboards

General CRM | FAQs

My client is looking to transfer to another institution. How do I submit a request?

To initiate a transfer to another financial institution, the client must first contact the receiving institution and request that they initiate the transfer process. No action is required from our end until the official request is received from the receiving institution.

My client transferred out and they are saying they have not yet received the funds. Are we able to track this down?

If a client has not yet received their funds following a transfer, they must contact the receiving institution directly. The receiving institution is responsible for the acceptance and processing of incoming transfers and is in the best position to provide updates on the status of the received funds. While our custodian can confirm when the funds were sent, any delays or issues on the receiving end must be addressed by the receiving institution.

My client is transferring out and they are asking if they will be charged a transfer-out fee. What fees will they be charged and what is the amount?

Yes, clients are typically charged a transfer-out fee when moving their account to another institution. In most cases, the fee is $125 plus applicable taxes, which totals $131.25. The exact amount may vary depending on the account type and value, but this is the standard fee applied in the majority of situations.

What happens during a RIF/LIF transfer out (in full) if the minimum has not been paid out?

If a RIF or LIF account is being transferred out in cash and the minimum payment has not yet been made for the year, a portion of the cash proceeds from the sale of securities will be used to satisfy the required minimum withdrawal. This will take place prior to transferring the remaining funds to the receiving institution.

However, if the account is being fully transferred out in-kind, the transfer instructions must clearly indicate how to satisfy the minimum payment. For example, the instructions should specify which holdings to sell in order to generate the cash needed for the minimum withdrawal. If this guidance is not provided, the request will be rejected due to insufficient direction on how to meet the minimum payment requirement.

Contacts | FAQs

Where do I go to find a particular client's associated Accounts, Systematic Plans and Positions?

Within a client's CRM contact record you can view all associated records such as Accounts, Systematic Plans, Tickets, Deals, and Attachments in the right sidebar. Click on the respective associated record to then view more information pertaining to that record.

How do I send over login credentials to the client so they can view their investments online?

Client's Online Access credentials can be found in their CRM Contact Record. When you see that credentials have been posted and are ready to be delivered, communicate them to the client either over the phone or email. Clients can then login through www.optimize.ca and will be prompted to set up security questions and change their password.

How do I see who is set up as a Power of Attorney(s) for a client?

To view the Power of Attorney(s) set up for your client's account, go to the client's contact card details page in the CRM system. On the right-hand pane, if you scroll down, you will find a section labeled Powers of Attorney where you can view the individuals authorized by the client. 

How can I see banking details on file for a client?

To access the banking details for a client, navigate to the client's contact card details page within the CRM system. On the right-hand side of the page, you will find a section labelled banking details where you can find the necessary information.

Accounts | FAQs

How do I get duplicated account roots removed from the system?

To remove a duplicated account root or to close an account, reach out to service@optimize.ca, including the reason for the request in the email. 

Where do I go to review a position-level fee?

Position-level information, including the assigned fee, can be easily reviewed through the Position Records index within the CRM. Furthermore, you can view all the information for a particular position by clicking and viewing the Position Record from the Associated Records right sidebar within the Account Record.

Where do I go to review and account-level fee?

Account-level information, including the assigned Model and fee, can be easily reviewed through the Account Records index within the CRM. Furthermore, you can view all the information for a particular account by clicking and viewing the Account Record from the Associated Records right sidebar within a client's Contact Record.

How can I confirm that a new account has been reviewed and approved by Compliance?

To verify that a New Account has been approved by Compliance and is now live to submit service requests on, you can check to see that the ticket is in the Completed stage of the New Accounts pipeline.

Where can I see a list of all my accounts?

All Account records can be viewed in a concise list through the index page in the CRM which you can navigate to through the Contacts tab. The index will provide summary account information and you can click on a particular account to view the full Account Record.

How can I view account values as of a certain date in the past?

To view an account value as of a certain month end, you can view the Monthly Account statements produced on an account that can be found in the Documents section of the Client Online Access Portal. Alternatively, if you have subscribed to our Performance Reporting software, you can generate a report to view an account value as of a certain date. 

Why is this account not funded even though it is approved by Compliance and is opened?

Once you see that a New Account has been fully reviewed and approved by Compliance, as indicated by the ticket moving to the Completed stage in the New Accounts pipeline, you can now begin submitting service requests on the account. To transfer client assets into their Optimize Account from an external account, you can submit a Transfer request through the Optimize Portal to let our team know to initiate the transfer process. 

Alternatively, funds can be deposited to client accounts both via EFT or cheque. To do so you can submit a Deposit Funds Request through the Portal.

How Do I see the Status of an account on the CRM?

To view the status of an account on the CRM, simply navigate to the account details page within the CRM system. Once there, you should be able to see a summary of the account's current status, including any recent activity or updates. This information will help you stay informed about the progress and status of the account within the CRM platform. 

Pipelines/Tickets | FAQ

What are the different ticket pipelines?

The different ticket pipelines we have are:

• Add Funds 
• Withdraw 
• Transfer 
• Account Administration 
• Plans 
• New Account 
• KYC Update 
• Will Preparation Pipeline 
• Tax Preparation Pipeline

How do I track the progress of an Add Funds request I submitted for my client?

Navigate to CRM > Tickets, then use the pipeline dropdown to select Add Funds. You can view the request in either board view or list view to monitor its status, current stage, and ownership.

What happens once I submit an Add Funds request?

Once submitted, the request enters the In Review stage for validation by the Portfolio Manager or Compliance team. If approved, it moves to In Process, where the Money Movement team processes the request with the custodian. Once completed, the ticket is moved to Completed and no further action is required.

How long does it take for an Add Funds request to be completed?

EFT In and contributions typically take 2–3 business days. Initiate Transfer requests take 10–15 business days, depending on the institutions involved.

Where do I track a withdrawal request for my client?

In the CRM, go to CRM > Tickets and select Withdraw from the pipeline dropdown. Use board or list view to follow the request’s progress and current stage.

What are the key stages for a Withdraw request?

Requests begin in the In Review stage for Portfolio Manager review. If trades are required, the ticket enters Trade Processing. Once cash is available or if none is required, it proceeds to In Process, where the Trading team completes the withdrawal. The final stage is Completed.

What are the typical timelines for processing withdrawals?

EFT Out requests are processed in 1–2 business days. Withdrawals to investment accounts take 4 business days in-kind or 7–11 business days in cash. Cheque or third-party withdrawals typically take 7–11 business days after review.

Where can I monitor transfer requests, including internal or third-party transfers?

From CRM > Tickets, select Transfer in the pipeline dropdown. Use board or list view to monitor status and next steps.

What happens after I submit a transfer request?

The ticket enters the In Review stage for Portfolio Manager validation. If there’s insufficient cash, it proceeds to Trade Processing to generate the required funds. Once ready, the ticket moves to In Process, and then to Completed once the custodian has fulfilled the transfer.

How do I track a PAC, SWP, RIF, or LIF setup or update?

Go to CRM > Tickets, and select the Plans pipeline from the dropdown. Use the board or list view to track the ticket’s progress.

What are the stages for plan setup or modifications?

All plan tickets start in In Review, where details are verified for accuracy and suitability. Approved tickets move to In Process, where the Money Movement team implements the changes. The ticket is closed in the Completed stage once processed.

How quickly are PAC, SWP, RIF, or LIF requests handled?

Typically, these requests are processed within 1–2 business days after the review is completed.

Where do I follow the progress of a new client account opening?

Navigate to CRM > Tickets, then select the New Accounts pipeline. Board and list views allow you to see the current status of submitted applications.

What are the steps after submitting a new account application?

New account requests begin in In Review, where the Wealth Planner inputs client info and initial checks by Compliance and the assigned Portfolio Manager are completed. They then move to In Process, where onboarding and Compliance send documents for signature and submit them to the custodian. Once the account is opened or the request is rejected/cancelled, the ticket moves to Completed.

How long does it take to open a new account?

New Individual, Joint, or Entity accounts are typically opened within 3–5 business days.

Where do I track a client’s beneficiary designation or update request?

In the CRM, go to Tickets, then select Account Administration. Use the board view to find and monitor beneficiary-related requests.

What stages does a beneficiary request go through?

Requests start In Review for Portfolio Manager validation, move to In Process where forms are sent and handled via Docusign or manual processing, and finish in Completed once actioned. You can see current and upcoming action items within each ticket.

How long does it take to update a beneficiary?

Designation or update requests for registered accounts and RESPs are typically completed within 1–2 business days, assuming all information is in order.

How do I track an Add, Modify, or Delete Banking request for my client?

From the Tickets panel in the CRM, select the Account Administration pipeline, and then locate the ticket in board view.

What happens after submitting a banking update request?

Banking requests go through three stages. Initially, the ticket is found in the "In Review" section, in which the Portfolio Manager verifies the submission. Next, it goes to the "In Process" section, in which the Docusign packages are sent and the Service team processes the update. Finally, the request is finalized or marked rejected/cancelled.

Dashboards | FAQs

What types of requests are tracked in the Practice Management dashboard?

This dashboard tracks both onboarding and ongoing servicing requests. For onboarding, it includes requests related to new account applications such as unsigned packages, pending client meetings, and outstanding transfers. For ongoing servicing, it tracks tickets across all major categories—Add Funds, Withdrawals, Transfers, Plans, New Accounts, and Account Administration requests like beneficiary or banking updates.

How can I use this dashboard to improve onboarding of my clients?

The dashboard provides specific charts that highlight where clients may be stalled in the onboarding process. For example, you can see which applications have been sent to clients but not yet signed, or which meetings have been completed but no paperwork has been issued. These insights are organized by time ranges (e.g., 0–3 days, 4–7 days, and 8+ days) so you can prioritize which clients need immediate attention.

How do I track outstanding transfers?

Transfers are broken down into two clear charts: those that have not yet been initiated and those that have been initiated but remain outstanding. This makes it easier to manage expectations and follow up when transfers are taking longer than expected, ensuring smoother transitions for the client.

Does the Practice Management dashboard update in real time?

Yes, the dashboard pulls directly from the ticket pipelines and updates in real time. This means you’re always working from the most current and accurate data available.

What kind of insights can I expect from the Client Insight Dashboard?

You’ll see visual summaries and interactive data on client demographics such as age breakdowns, asset ranges, and account types. It also includes overviews of AUM by registration type, investment models, fee structures, and household segments. This enables you to get both high-level and granular views of your business.

How can the Client Insight Dashboard help me identify growth opportunities?

By reviewing asset range distributions and AUM by registration type, you can pinpoint segments where there may be opportunities for deeper engagement or additional product solutions. It helps you identify clients who may be underinvested or not taking full advantage of available account types.

Can the Client Insight Dashboard help with segmentation and personalization?

Yes, this dashboard is a powerful tool for segmenting your book. With charts showing breakdowns by age, fee tier, and investment type, you can more easily tailor your outreach, customize your messaging, and provide more personalized service to each client group.

Is the Client Insight Dashboard interactive?

Yes, each chart allows for deeper interaction. Hovering over visual elements provides detailed insights—for example, AUM by account model or client distribution by age bracket. You can also export these views into Excel or PDF format for presentations, planning sessions, or internal use.

Does the Client Insight Dashboard exclude closed accounts?

Yes, to ensure the insights reflect your current business and avoid data noise, all closed accounts are excluded from the dashboard reporting. This keeps your analysis focused on active clients and relevant growth opportunities.