Last update: 9/9/2026
| New Event | |
| Type | New Activity — Used for in person and virtual meetings. |
| Task Description | Default formats: For 1 FA: [FA Name] – [firm] ex: John Smith – ABC Company For 2 FAs: [FA Name and FA Name] – [firm] ex: John Smith and Bob Smith – ABC Company For 2 FA’s from different firm: [FA Name and FA Name] (no need to indicate firms) For 3 or more FA’s for group meeting or multiple notes: [First FA Name mentioned] and Others |
| Task Comments | This is for sending messages to the user directly on the app, only if needed. |
| Internal Comment | Populate with missing information such as FA’s Name in SF, CRD, timestamps, comments for the proofer, etc. |
| Special Instructions | Instructions or any information provided by the wholesaler. |
| Start Date and Time | Date: Capture what’s provided. If none, use the date of the recording. Time: Capture what’s provided. If none, leave blank. |
| Contacts |
• FA Name: Mirror what’s in Salesforce. Put the advisor’s complete name in the First Name field to copy/paste names faster during CRM entry. • CRD#: Refer to FINRA. If none, leave blank. |
| Subject | Capture as provided. If none, the defaults are: • For 1 FA: Call/Meeting/Zoom/GP Meeting with [FA Name] • For 2 FAs: Call/Meeting/Zoom/GP Meeting with [FA Name] and [FA Name] • For 3 or more FAs: Call/Meeting/Zoom/GP Meeting with [Firm Name] |
| Comments (Notes) | Clean verbatim. |
| Type |
Capture as specified. If none, the defaults are: • New Event: |
| Sub-Type |
Capture as specified. If none, the defaults are: • New Event: |
| Duplicate Activity — Goal Tracking | Tick checkbox as provided. If none, skip. |
| Assigned To | • For recordings: Name of wholesaler. • For ES Weekly notes: Owner of the account in SF. |
| Fund/Offering | • Select funds and/or product-related topics as provided or as discussed. • If no specific products were provided or discussed, send clarification email. |
| Topic | • Check-In: Select as provided. • Fund: Select if fund/s are tagged in the Fund/Offering field. • IR/Ops: Select as provided. • Prospecting: Select if WS indicates FA/team is a “Prospect” |
| Location | As provided. If none, leave blank. |
| Investment Product Member(s) | Select names as provided. If none, leave blank. |
| Potential Ticket $ | Capture as provided. If none, leave blank. |
| Follow Up Date | Capture as provided. If none, leave blank. |
| ES Weekly Update | Tick checkbox for Enterprise Solution/ES Weekly update/weekly notes/weekly bullets. |
| Related To | Link Opportunity/Firm/Account as provided. |
| Log a Call / Follow-up | |
| Type | Phone Call — Used for phone calls, voicemail/message, email and follow-up tasks. |
| Task Description | Default formats: For 1 FA: [FA Name] – [firm] ex: John Smith – ABC Company For 2 FAs: [FA Name and FA Name] – [firm] ex: John Smith and Bob Smith – ABC Company For 2 FA’s from different firm: [FA Name and FA Name] (no need to indicate firms) For 3 or more FA’s for group meeting or multiple notes: [First contact mentioned] and Others |
| Task Comments | This is for sending messages to the user directly to the app, only if needed. |
| Internal Comment | Populate with missing information such as FA’s Name in SF, CRD, timestamps, comments for the proofer, etc. |
| Special Instructions | Instructions or any information provided by the wholesaler. |
| Start Date and Time | Date: Capture what’s provided. If none, use the date of the recording. Time: Capture what’s provided. If none, leave blank. |
| Contacts |
• FA Name: Mirror what’s in Salesforce. Put the advisor’s complete name in the First Name field to copy/paste names faster during CRM entry. • CRD#: Refer to FINRA. If none, leave blank. |
| Subject | Capture as provided. If none, the defaults are: For 1 FA: Call/Meeting/Zoom/GP Meeting with [FA Name] For 2 FAs: Call/Meeting/Zoom/GP Meeting with [FA Name] and [FA Name] For 3 or more FAs: Call/Meeting/Zoom/GP Meeting with [Firm Name] |
| Comments (Notes) | Clean verbatim. |
| Type |
Capture as specified. If none, the defaults are: • Log a Call: |
| Sub-Type |
Capture as specified. If none, the defaults are: • Log a Call: |
| Assigned To | For recordings: Name of the wholesaler. For ES Weekly notes: Owner of the account in SF. |
| Disposition | • Conversation — default, unless specified. • Quality Conversation — Capture as specified. • Voicemail / Message — default for voicemails/left messages. • No Contact or N/A — default for a no-show. • Not Interested — Capture as specified. • Wrong Number — Capture as specified. |
| Status | • Completed — default for call notes. • Open — default for follow-up tasks, and future-dated activities, if any. |
| Priority | • Normal — default, unless otherwise specified. • High — Capture as specified. |
| Fund/Offering | • Select funds and/or product-related topics as provided or as discussed. • If no specific products were provided or discussed, send clarification email. |
| Investment Product Member(s) | Select names as provided. If none, leave blank. |
| ES Weekly Update | Tick for Enterprise Solution/ES Weekly update/weekly notes/weekly bullets. |
| Potential Ticket $ | Capture as provided. If none, leave blank. |
| Follow Up Date | |
| Opportunity | |
| Type | Opportunity — Used for creating/updating opportunities. |
| Task Description | Default formats: For 1 FA: [FA Name] – [firm] ex: John Smith – ABC Company For 2 FAs: [FA Name and FA Name] – [firm] ex: John Smith and Bob Smith – ABC Company For 2 FA’s from different firm: [FA Name and FA Name] (no need to indicate firms) For 3 or more FA’s for group meeting or multiple notes: [First contact mentioned] and Others |
| Task Comments | This is for sending messages to the user directly on the app, only if needed. |
| Internal Comment | Populate with missing information such as FA’s Name in SF, CRD, timestamps, comments for the proofer, etc. |
| Special Instructions | Instructions or any information provided by the wholesaler. |
| Internal Comments | – Populate reason for clarification (if applicable). Examples: *Profile Not Found – John Smith *Date and Time Not Provided *Two Profile Results – John Smith – Suggested Salesforce/website link for contact/firm profiles |
| Start Date and Time | Date: Capture what’s provided. If none, use the date of the recording. Time: skip. |
| Contacts |
• FA Name: Mirror what’s in Salesforce. Put the advisor’s complete name in the First Name field to copy/paste names faster during CRM entry. • CRD#: Refer to FINRA. If none, leave blank. |
| Subject | Skip |
| Comments (Notes) | |
| Type | |
| Sub-Type | |
| Opportunity Name* | Capture what’s provided. If none, follow format below: [Account Name] – [Fund] [Amount] Sample: Greene Wealth Management – Millennium $100K |
| Product* | Capture what’s provided. Make sure to search the exact name of the product in SF. |
| Opportunity Owner* | Wholesaler’s name unless specified. |
| Stage* | Capture what’s provided. If none, send clarif. |
| Close Date | Capture what’s provided. If none, leave blank. |
| Amount* | Capture what’s provided. If none, send clarif. |
| CRM Modification | |
| Type | CRM Modification — Used for profile creations/updates/lead conversions. |
| Task Description | Default formats: For 1 FA: [FA Name] – [firm] ex: John Smith – ABC Company For 2 FAs: [FA Name and FA Name] – [firm] ex: John Smith and Bob Smith – ABC Company For 2 FA’s from different firm: [FA Name and FA Name] (no need to indicate firms) For 3 or more FA’s for group meeting or multiple notes: [First contact mentioned] and Others |
| Task Comments | This is for sending messages to the user directly on the app, only if needed. |
| Internal Comment | Populate with missing information such as FA’s Name in SF, CRD, timestamps, comments for the proofer, etc. |
| Special Instructions | Instructions or any information provided by the wholesaler. |
| Internal Comments | – Populate reason for clarification (if applicable). Examples: *Profile Not Found – John Smith *Date and Time Not Provided *Two Profile Results – John Smith – Suggested Salesforce/website link for contact/firm profiles |
| Start Date and Time | Date: Capture what’s provided. If none, use the date of the recording. Time: skip. |
| Contacts |
• FA Name: Mirror what’s in Salesforce. Put the advisor’s complete name in the First Name field to copy/paste names faster during CRM entry. • CRD#: Refer to FINRA. If none, create CRD in this format: UN + random numbers. Example: UN69878758 |
| Account Name / Firm | Profile |
*Select the appropriate action when creating or changing Account/Firm profile or Advisor profile. Added – used when you create/add a profile in SF. |
| Subject | Skip |
| Comments (Notes) | |
| Type of Modification | • Profile Creation – for creating/adding profile • Profile Update – when updating info in a profile • Merged Duplicates – for merging duplicate profiles • Lead conversion – converting a lead profile to contact |
| Preferred Name | Search on their website, or Google search for these details and populate accordingly. |
| Phone | |
| Mobile | |
| Title | |
| Mailing Address | |
| Secondary Email | • Capture as provided. • If none, leave blank. |
| Account CRD | |
| Sub-Type | |
| Company Title | |
| Region | |
| Parent Account | |
| AUM level | |
| Types in Investments Utilized | |
| Knowledge of Alternatives | |
| Decision to Add new Offerings | |
| Investment Discretion Type | |
| Interest in AI | |
| Typical Allocation Levels | |
| Due Diligence Process | |
| SI product Preferences | |
| Interest in Specialty Products | |
| Manager Profile / Preference | |
| AI Access Point | |
| AI Asset Class (Level 1) | |
| AI Asset Class (Level 2) | |
| Typical Client Wealth Profile | |
| Typical Client Account Size | |
| Source of wealth | |
| Offshore Opportunity (Y/N) | |
| International Branches | |
| Custody Firm | |
| AI Platform Competition | |
| SI Sales Competition | |
| SIMON Integrated | |
| Data Aggregation | |
| Turn Key Asset Manager (TAMPs) | |
| Frequency of Contact | |
| Contact Types | |
| Content | |
| Deal Appetite | |
| Not a Financial Advisor | |
| No Investment Decisions | |
| Please see the attached Exercise File for more details. |