Activity/ Meeting Notes Transcription Guide

Dana Fields

Classifications and Requirements

Type

Normal – New (Office Visit / Phone Call / VC): Standard interaction with the client or contact.
Ex.: “Spoke with John Smith via phone regarding account updates.”

Log Email: Documents emails sent or received.
Ex.: “Sent email to Jane Doe about pricing changes.”

CRM Modification: Instructions for changes or updates in the client’s CRM system.
Ex.: “Please update client’s new firm and address info in the CRM.”

Follow-up: Actions or tasks to be completed after a prior interaction.
Ex.: “Follow up with client with fact cards.”

Internal Meeting: Notes that involve discussions within GSAM employees or organization.
Ex.: “Meeting within the GSAM Texas branch about plans for the next quarter.”

Date

As specified. Default if none provided: Recording Date

Time

As specified. Leave blank if not specified. Do not assume time if it was not specified. If RD provides timezone, put in the main note. (e.g. TIME: 9:00 a.m. Central)- no adjustments on the time in the time field.

Contact/s

First Name, Last Name. Capture name as dictated over FINRA name.
If both the first name and nickname are provided, populate the First Name field as: First Name/Nickname
(If GSAM employee/specialist was present in the meeting, add to attendees as well)

Firm | Address/es

As specified. Put [None Provided] if either the firm or the address is not provided.
Ex.: Morgan Stanley Smith Barney | Chicago, IL
*If both the Firm Name and Group Name are provided, place a slash in between (Ex: Ameriprise/The Alberts Group).
*If both the Broker and RIA are provided, place a slash in between (Ex: Commonwealth/Fidelity).
*If only city is provided, still input state.
*If there are GSAM employees in the meeting, you may list their firm as either Goldman Sachs or GSAM.
*If firm and group name are provided, you can put both under the Firm field

Subject

As specified (e.g. Virtual Meeting, Office Meeting, Phone Call)
Default: Date – Meeting Type

Ex.:
Meeting Type: Office Visit
Subject: 9/19/24 – Meeting

Meeting Type: Phone Call
Subject: 9/19/24 – Call

Meeting Type: VC – Zoom / VC – WebEx (Use the specific virtual meeting platform if specified)
Subject:
9/19/24 – Zoom
9/19/24 – WebEx

Text

Clean verbatim.

Follow-ups: No need to include in the main note; add instructions in the follow-up note instead.

Meeting Type

Select as specified.
Office Visit – In-person meeting held at the WS or client’s office, or any face-to-face meeting.
Phone Call – Meeting conducted over the phone.
Voicemail – Recorded message left when the recipient is unavailable.
Email – Communication sent electronically via email.
VC – Zoom – Virtual meeting conducted through Zoom.
VC – WebEx – Virtual meeting conducted through WebEx.

*Refer to context if not specified. Breakfast/lunch/dinner, golf or other in-person meetings are tagged as Office Visit. If only “meeting” was specified, need to clarify (select None Provided).
*If RD/wholesaler mentions “Virtual Call”, use Phone Call as the meeting type.

*If many types apply based on the context, select the most suitable interaction.
Ex: “Canceled in-person meeting but we connected via phone instead.” – Phone Call

VA Meeting Type

As specified. Leave blank if not specified.

VA Sponsorship

As specified. Leave blank if not specified.

# of Attendees

As specified
Default: Number of names dictated excluding GSAM employees (unless otherwise specified)
For Voicemail/Email: 0

# of Quality Interactions

As specified
Default: 1

For Voicemail/Email: 0

Quality ETF Discussion (checkbox)

As specified. Leave blank if not specified.
Ex.: “A quality ETF discussion with…”

Alternatives Related (checkbox)

Tick accordingly if the RD/RC discussed Primary Products that are Alternatives.

*List of Alternatives products can be found at the bottom of this document.

SMA Related (checkbox)

Tick accordingly if the RD/RC discussed Primary Products that are SMAs.

*SMAs are usually indicated in the product name (e.g. Goldman Sachs Fixed Income SMA)
*Tick accordingly if the “Other Product” or GSAM product not found in DANA is an SMA, based on context clues or research.

ETF Related (checkbox)

Tick accordingly if the RD/RC discussed Primary Products that are ETFs.
*ETFs are usually indicated in the product name (e.g. Goldman Sachs S&P 500 Premium Income ETF)
*Tick accordingly if the “Other Product” or GSAM product not found in DANA is an ETF, based on context clues or research.

Mutual Funds Related (checkbox)

Tick accordingly if the RD/RC explicitly mentions that the specific GSAM fund is a “mutual fund”.

Client Sentiment/Tone

Only tag this if WS explicitly mentioned. Leave blank if not specified (do not rely on meeting notes).
Ex.:
“Please mark as a positive conversation on models.”
“Please tag as a positive client sentiment.”

In case of multiple products, only use this field if all have the same sentiment.

If products have different sentiments, indicate in the note text using the format below (group the products that have the same sentiment):
CLIENT SENTIMENT FOR [PRODUCT 1], [PRODUCT 2]:

CLIENT SENTIMENT FOR [PRODUCT 3]:

Client Objection

As specified. Leave blank if not specified.
If WS provided a client objection but is not available in the dropdown, capture it in the main note text and place it at the bottom as a new paragraph.

Ex.:
CLIENT OBJECTION: Did not like the idea.

In case of multiple products, only use this field if all have the same objection.

If products have different objections, indicate in the note text using the format below (group the products that have the same objection):
CLIENT OBJECTION FOR [PRODUCT 1], [PRODUCT 2]:

CLIENT OBJECTION FOR [PRODUCT 3]:

Primary Products

Tag all products in the dictation regardless if they are only mentioned in passing. This applies to all meeting types.

Tag all products regardless if they have varying client sentiments/objections.

*Required if SMAs/ETFs/Alternatives related is selected
*Check the products that you add if they are SMAs/ETFs/Alternatives and tick the appropriate tick boxes in the Alternative/SMA/ETF Related field
*List of Alternatives products can be found at the bottom of this document
*If a product provided by the WS is not available in the selection, clarify with wholesaler.

MODELS:

*Select GS T Rowe Models if MAPS/TRP Models/T Rowe Price Modes/ T Rowe Models is mentioned.

*Select Flagship Models if GS ETF Models/GS Hybrid Models/GS MF Models/Advisor Models is mentioned.

*Select Flagship Models if no specific model product is mentioned.

Result

Default for Meeting/Phone call/VC: Quality Interaction

Default for Voicemail = Left Voicemail

Default for Email = Note

Services

Select as specified
Default: No Service

Content Stream

As specified. Leave blank if not specified.

Meeting Topic

As specified. Leave blank if not specified.

Product Interest

Select as specified. These are explicitly specified by the wholesaler (“Kindly add/tag to product interest…”)

Include in main note with the following format: PRODUCT INTEREST: []

Business Interest

Select as specified. These are explicitly specified by the wholesaler (“Kindly add/tag to business interest…”)

Include in main note with the following format: BUSINESS INTEREST: []

Market Know-How
Market Pulse
Market Monitor

What’s Important

As specified Leave blank if none was specified.

If specified:
Include in main note with the following format: WHAT’S IMPORTANT: []

FA Client Segment/Client List

As specified Leave blank if none was specified.

If specified:
Include in main note with the following format: FA CLIENT SEGMENT: []

Centers of Influence (COI)

Tick this checkbox only if the WS explicitly instructed “Tag FA as COI.” No need to tick if it was casually mentioned in the meeting notes, e.g., “She is a COI.”

LEAD LIST/Lead List Note

As specified Leave blank if none was specified.

If specified:
Include in main note with the following format: LEAD LIST: []
*Add Patrick to MyList/lead list titled

Internal Meeting Transcription Guide

Fields

Requirements

Date

As specified. Default: Recording Date

Contact/s

(All GS people)

Subject

As specified. Default: Internal Meeting

Comments

As specified

Activity/ Meeting Notes Transcription Guide

Dana Fields

Classifications and Requirements

Assigned To

To-Do for RD: Wholesaler
To-Do for RC: Internal
To-Do for Others: If it’s neither the RD or RC

Due Date

As specified. Default is next business date

*If WS specifies the due date and it falls on a weekend, select the date provided by the WS.
*If the date falls on holiday, use the next business day.

Subject

Copy the subject from the main note

To-do Note

Format:
TO-DO FOR [Assignee]:

FROM [Assignor]:

[TO-DO NOTE]

*If the wholesaler assigned the task to himself/herself, we can drop the “FROM [Assignor]:”

Opportunity / Pipeline / Volley Transcription Guide

OPPORTUNITY (Include all opportunity details in the main note. If wholesaler says Pipeline/Volley, select Pipeline)

Format in Main Note

TYPE OF OPPORTUNITY: Opportunity Name: []. Product: []. Stage: []. Close Date: [], etc.

Example:
PIPELINE OPPORTUNITY: Name: DMIF 5M. Product: Dynamic Muni. Stage: Open. Close Date: 12/31/21.

DEPLOYMENT: Opportunity Name: []. Service Co-leader: []. Level: []. Next steps: [].

Dana Fields

Classifications and Requirements

Meeting Type

Pipeline, Volley, RSG Pipeline or RSG Volley

Contact

FA opportunity is under

Firm | Address

FA’s firm/location, as specified

Opportunity Name

As specified.

Default: Fund + Amount/Advisor Last Name (if amount is not provided)

Example:
SIF 2.5M
RDG, MLP Smith

Opportunity Close Date

As specified

Default: Next year’s last date

Opportunity Amount

As specified

Opportunity Product

• Select the specified product from the drop-down.

• If multiple products are provided, leave the field blank.

• If an amount was mentioned but no product is specified, clarify.

Opportunity Next Step

As specified

Next Step Owner

• RD – WS dictates “Next steps owner” or “owner of next steps” followed by WS name, nickname, or initials

• RC – WS dictates “Next steps owner” or “owner of next steps” followed by Internal’s name, nickname, or initials

• Specialist – WS dictates “Next steps owner” or “owner of next steps” followed by another GS employee’s name

Otherwise, leave blank if none was specified. Do not rely on the context.

Opportunity Description

As specified

Opportunity Category

As specified

Opportunity Stage

Open (Default if not specified), Closed, Closed & Won, Closed & Lost

Probability of Win/Loss

As specified

Reason for Win/Loss

As specified

Opportunity Color

As specified

Opportunity Territory (RSG)

Name of RSG RD/Wholesaler

Opportunity Anticipated Decision Date (RSG)

As specified

Opportunity Plan Amount (RSG)

As specified

Opportunity Plan Name (RSG)

As specified

Service Provider

As specified

Deployment Level

As specified

Watcher 1

Capture the wholesaler name

Watcher 2

Capture name of the dictated deployment service provider

Deployment Transcription Guide

CRM Modification (Put instruction in text field and tick the appropriate modification requested)

Profile

Used for individual contact profiles.

Important: Only used for standalone CRM modification requests.

If a profile update is mentioned along with a meeting note, the change should be documented in the main note. Do not create a separate CRM modification note.

Added – Any request to add a profile in the CRM system.

Ex.

Hey DAN, kindly add John Smith to Wells Fargo in Bethesda, MD.

I’m not sure if John Smith is already in the system, but he should be in the Wells Fargo, Bethesda. If not, kindly make sure he is added.

Changed – Any request to add/modify details on an existing profile in the CRM system. This usually involves adding/editing phone numbers, names, email address, lead list.

Ex.

Please update John Smith’s email address to john.j.smith@wellsfargo.com. His current email address is john.smith@wellsfargo.com and that should be updated so he can receive the weekly updates.

Can you please add John Smith to the GPIX, GPIQ monthly update my list?

Under his title, please add “Managing Director”

Tag him as Travel Loop: 2

Merged – Any request to merge two existing profiles of the same financial advisor in the system.

Ex.

Dial-a-Note, I noticed that there was a new profile created for Andrew Rose. Now, there are two Andrew Roses in the same buying unit. Can you please merge them because it’s just one individual. So, I’m not sure why two profiles exist. One is Andrew Rose, the other is Andrew Creston Rose. So, just merge them together and make sure all the notes are there.

Firm

Used for company or organization profiles.

Added – Any request to add a new firm when no existing firm profile is found in the CRM system. (ex. newly registered, new RIAs, etc.)

Changed – Any request to update or modify existing firm profiles in the CRM system. (ex. firm name, main office headquarters designation, legal name or registration details, etc.)

Merged – Any request to combine two or more firm profiles, or duplicate profiles that refer to the same firm. (ex. parent firm and a duplicate firm created in an error)

Address

Used for company, firm, office addresses.

Added – Any request to add a new office address when no existing address is found in the CRM system. (ex. newly opened branch office, office relocation, etc.)

Changed – Any request to update or modify existing office address in the CRM system. (ex. correcting office address details – street name, unit number, city, state, etc.)