Wealth Planners Preparing for Transition Meetings

Preparing clients ahead of their transition meeting with an Optimize Portfolio Manager (PM) plays a critical role in ensuring the meeting runs smoothly, avoids last-minute cancellations, and allows for timely account setup. By confirming documentation in advance and setting clear expectations, Wealth Planners help create a more efficient and positive client experience.

Key Steps Before the Transition Meeting

1. Confirm Client Documentation

Before calling the client to schedule the meeting:

• Check whether the client has already provided up-to-date ID and valid banking information to Optimize.

• If these documents are already on file, let the client know they can disregard the list of required documents in the meeting invitation.

2. Request Any Outstanding Documents

If additional documents are required in advance of the meeting:

• Inform the client during the scheduling call.

• Clearly outline what’s needed and how to send the documents to Optimize.

• Aim to resolve any document gaps ahead of time to avoid delays during the onboarding process.

What the Client Will Receive

Once the meeting is scheduled:

• The client will receive an email and calendar invitation.

• The invitation includes a link that outlines all documentation required to open accounts at Optimize.

• Let clients know that preparing this information in advance will streamline the process and avoid unnecessary follow-ups.

Sample Email Notification to Clients

"I'm very excited to connect with you and to discuss your transition to Optimize Wealth Management.  In advance of our meeting, I wanted to let you know what documents and information will be required to open accounts with us. To that end, I have included a link below which details the required Information and Documents that we will need to open each account type.

Please have this information and documentation ready at our meeting to avoid any unnecessary delays in your account opening."

Required Information and Documents to open Accounts at Optimize

Reminders for Wealth Planners

• Review client records before outreach
  Always check the CRM to confirm whether the client has already provided valid ID and banking information to Optimize before initiating the scheduling call.

• Confirm document status during the call
  If documents are already on file, reassure the client that they can disregard the list of required documents in the meeting invitation.

• Request outstanding documents proactively
  If any documentation is missing, clearly inform the client during the scheduling call and request it ahead of the transition meeting to prevent delays.

• Set clear expectations about the invitation
  Let the client know they will receive a calendar invitation that includes a link outlining the required documentation for account opening.

• Emphasize the importance of preparation
  Remind clients that having the correct documents ready ensures a more efficient and productive meeting with the Portfolio Manager.

• Use the current email template to reinforce expectations
  Ensure the client receives the standard pre-meeting message until an updated version is rolled out.