Index the requested material
Use the adviser's case-specific request list and record the source, date and period of each item. Keep old and replacement versions traceable. A recent upload is not necessarily a recent statement, and a missing document should not be replaced by an assumed figure.
Track outstanding administrative requests
List requests such as a missing form or unanswered meeting question with their recorded owner and next action. Do not translate administrative status into a conclusion about the client's finances or intentions. Sensitive details should stay in the appropriate controlled record.
Prepare the meeting agenda
Group the checked documents, their periods and open client questions into a pre-meeting agenda for the adviser. Identify which figures come from verified records and which are client statements still to be checked.
Work you can get help with
Illustrative scenario using sample information.
Index the requested material
- What you provide
- Adviser checklist, document references and periods.
- The useful result
- A dated review index with missing or mismatched items.
- When the task is complete
- The adviser confirms the material available for review.
Track outstanding administrative requests
- What you provide
- Client requests, assigned owners and response statuses.
- The useful result
- An open-item list for meeting preparation.
- When the task is complete
- The responsible person resolves or explicitly carries forward each item.
Prepare the meeting agenda
- What you provide
- Checked document index and open questions.
- The useful result
- A factual meeting agenda linked to its source material.
- When the task is complete
- The adviser accepts the agenda and records any additional preparation needed.
Questions you may have
Can the assistant recommend an investment?
No. This workflow prepares administrative evidence for an adviser-led review.
Does a complete packet establish suitability?
No. Suitability and advice require the appropriate professional process.
Sources and further reading
- Investment Plan Creation and Review Meeting Process Workflow Package
The Schwab material describes tasks for collecting client information, checking for missing items, preparing an agenda, confirming the meeting, and documenting its outcome.
This is an older example of preparing and reviewing an initial plan, not evidence of the complete process for a recurring review. Use only its administrative elements, without investment recommendations.
2026-11-04
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