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How to Initiate and Process a Client's Estate Request

Learn how to initiate and process an estate request for a client's Optimize Account.

Applies To:

  • All Portfolio Managers, Advisors, Wealth Planners, and support staff.
  • Eligible account types: Cash accounts, Joint accounts, Margin accounts, TFSA, RRSP, RESP, RDSP, FHSA, RIF, LIF, LIRA, and Trust accounts.  

You can submit an Estate Processing request from a client’s CRM Contact Record. Use the instructions below to ensure that the estate settlement is managed efficiently and all required actions are completely accurate.

When to Submit an Estate Processing Request 

  • A client has passed away, and their estate needs to be processed.
  • The executor or legal representative has contacted you to begin the estate settlement process.
  • The client's account requires the distribution of assets to beneficiaries or heirs.
  • A client's estate requires transferring assets, closing accounts, or addressing tax-related matters.

How to Submit a Estate Processing Request

To submit an Estate Processing request, you'll use the Service Extension on the client's CRM Contact Record. When submitting the request, there are two distinct submission methods and workflows: Wet Signature, which involves downloading the pre-populated document and getting it physically signed. Electronic Signature, which automatically generates the required forms and sends them to the client through DocuSign.

Although both methods are valid, we strongly recommend using Electronic Signature whenever possible for real-time tracking, reduced errors, and faster turnaround times.

Learn more about Wet Signature Flexibility 

How to Submit an Estate Processing Request 

  1. Navigate to the Client's CRM Contact Record
  2. Go to the Servicing Tab
  3. Select "Account Administration → Special Account Requests

  4. Select "Estate Processing" as your request type

  5. Select the appropriate submission option, either Wet Signature or Electronic Signature.

  6. Select the Withdrawal Type
    • Cash Withdrawal / In-Cash transfer to associated contact(s) / In-Kind transfer to associated contact(s)
    • For In-Cash and In-Kind transfers, you will also need to select the "To Account" from the dropdown list provided below

  7. Enter the Executioner Name and Email 

  8. Select the Beneficiary from the dropdown list, which includes all contacts associated with the client
    • If the selected beneficiary is one of the contacts associated with the client, the following fields will be automatically populated: Name, SIN, Email, and Address. If not, you will need to manually enter the information in these required fields.


  9. Upload Required Documents:
    • You'll need to attach a signed copy of the necessary Estate Processing forms. To add an attachment, click +Add file and upload the file from your computer
  10. Review & Submit 
    • Once you confirm the details, click Submit to create the service request ticket

Please note:  After submitting your request, the system will automatically create a ticket and send the paperwork directly to your client via DocuSign for electronic signatures.

If you select the wet signature option, you'll need to download the pre-populated forms for your client to sign manually.

After Submitting the Request

A new service request ticket will be created. You can locate it:

  • In the Right-Side Panel of the client's CRM Contact Record under Tickets.
  • In the Estate Settlement Pipeline, where you can track the progress and confirm when the request is completed.

Processing Times

  • Wet Signature Submission: Processed within 7 business days.
  • Electronic Signature Submission: Typically completed within 8-9 business day of receiving signed documents

Important: After the ticket is completed and approved by the custodian that the estate is verified, you will need to submit a new Withdrawal ticket to finalize the withdrawal process.