DANA Fields

Specifications

Sources

• Toll-free number

• Hey Dan App (Recording, Image, Text, Video)

• Emailed notes

Note Types

• Normal – Existing: Choose Normal – Existing if the activity is already existing in Salesforce calendar.

• Normal – New: This is the default note type (until further notice). If specified by wholesaler to create/schedule a new activity or if the activity is not existing in Salesforce calendar.

• CRM Modification: This is where you can change/update a profile and/or if you need to request for a profile to be created (Issues Log).

• Opportunity: For logging opportunity/ies.

• Follow-up: For new or additional follow-up note/s.

Task Description

Default Task Description for the following:

• For activity with one or two financial advisor/s:

[Advisor Name/s]

ex. John Smith (for one advisor) or John Smith and Jane Doe (for two advisors, separated with “and”)

• For three or more advisors mentioned:

[First Advisor Name Mentioned] and others

ex. John Smith and others

• For branch/breakfast/lunch/walkthrough, etc. meetings:

[Firm] Branch/Breakfast/Lunch/Walkthrough Meeting

ex. Morgan Stanley Branch Meeting

Special Instructions

This is where you put the special instructions from the wholesaler.

Ex. “Please delete the previously recorded meeting.”

Internal Comments

• This is where you put your comments/instructions/notes for the next person processing the note.

Ex. “FA is not in FINRA.”

• Any note clarifications should be placed in the internal comments.

Date

Capture as dictated. If none specified, use the recording date or the date found in Salesforce if it is an existing activity.

For follow-up due date: Two business days unless specified. This means weekends and holidays are not included.

Time

Capture as dictated. If none specified, leave it blank and put in the internal comments that there was no time provided.

Time assumption:

Noon – 12 p.m.

Default is 30 mins per activity.

Advisor Name

If not found in Salesforce but in FINRA, copy the name in FINRA except the middle name (if not provided) all in the First Name field.

If found in Salesforce, copy the name in Salesforce all in the First Name field.

CRD #

N/A

Spelled Tick Box

N/A

Firm

Capture as dictated. If none specified, leave it blank.

Location

Leave it blank if not specified.

Include state if not provided. Wholesaler’s territory/coverage is indicated in the RMM Preferences field for your reference.

Ex. Address provided by wholesaler: Los Angeles

Wholesaler Territory: CA

Put Los Angeles, CA in the location field.

If wholesaler only provided the street name, place it on the Internal Comments field for reference.

1 on 1 Tick Box

Tick 1 on 1 if there are two or more one-on-one meetings with advisors with the same notes.

Ex. Three advisors have the same meeting notes and subject.

Group Tick Box

Tick Group box if it is a group meeting.

Subject

• Capture as dictated.

• Default subject for new activity/activity without existing subject line:

[Firm name abbreviation] – [Advisor Name]

Ex. MS – John Smith

Note: If the firm name was not specified by the wholesaler, kindly check the firm in Salesforce or in FINRA. Click here for firm name abbv.: https://process-repository.heydan.ai/bellatrix/?page_id=451

For two advisors with the same firm:

[Firm name abbreviation] – [Advisor Names]

ex. MS – John Smith and Jane Doe

For two advisors with different firm:

[Advisor Names]

ex. John Smith and Jane Doe

For multiple advisors (more than two names):

[Firm name abbreviation] – [First Advisor Name Mentioned] and Others

ex. MS – John Smith and Others

• If the meeting is already existing in Salesforce, just copy/mirror whatever is in the calendar to the subject line in DANA.

• If there is an indication for a possible subject given by the WS, you may use it.

Calendar Marker

Activity is the default type unless specified.

Office Day – Specified by the wholesaler.

PTO – Specified by the wholesaler.

Rotation Location – Specified by the wholesaler.

Activity

Capture as dictated or use Call as a default type if not specified.

• Meeting for all types of face-to-face meetings.

• Call for calls, voicemails, conference calls.

• Email for emails, Outlook invites.

• Webinar for WebEx, webinars, Join.Me.

• For Office Day, PTO and Rotation Location, select None.

Note: If the meeting is existing in Salesforce, just copy the activity type in the calendar and put it in DANA, unless the wholesaler specifically mentioned another activity type.

Activity Category

Capture as dictated or use the default type below if not specified. Please select all that applies.

• Meeting – 1:1 Mtg unless specified.

• Call – Advisor Call – Client Conversation unless specified.

• Email – Email unless specified.

• Webinar – Advisor WebEx unless specified.

Note: For R. Gourlay’s existing notes, the default is Appointment.

MEETING

• 1:1 Mtg – Physical interaction with one advisor/client.

• Business Meal Mtg – For meal meetings with one or two advisors (not in the branch.)

• Branch Mtg – For branch meeting. Could be meal meetings in the branch. Specified by the wholesaler.

• Entertainment – Happy hour, golf outings, team building activities with advisor/s.

• Retirement Mtg – Meeting with retirement focused advisors or retirement wholesalers. Specified by the wholesaler.

• PM / CPM Visit – Meeting with CPM/PM. Specified by the wholesaler.

Ex. Kevin Collins of Spectra

• Complex Mtg – Meeting with the complex. Specified by the wholesaler.

• Client Support Seminar – Client event, support seminar or gathering. Specified by the wholesaler.

• Walk Through – Walkthrough in the branch. Specified by the wholesaler.

CALL

• Thank You Call – For thank you calls, thanking the FA or client.

• Advisor Call — Client Conversation – Default type and for conversations with the FA or client.

• Advisor Call — New Producer – Specified by the wholesaler.

• Advisor Call — Referral – Specified by the wholesaler.

• Advisor Call — Prospect – Specified by the wholesaler.

• CPM Call – Specified by the wholesaler.

• Internal Alger Call – Specified by the wholesaler.

• Aggregator – Conversation – Specified by the wholesaler.

• Retirement Calls – Specified by the wholesaler.

• Left Voicemail – For voicemails, “left messages”.

EMAIL

• Mail Merge – For mail merges.

• Advisor Outlook Invite – For advisor Outlook invites. Specified by the wholesaler.

• Email – For general emails. Specified by the wholesaler.

WEBINAR

• Advisor WebEx – For one advisor.

• Group WebEx – For more than one advisor.

Note: If the meeting is already existing in Salesforce, just copy/mirror the activity type in the calendar, unless the wholesaler specifically mentioned another activity type.

Ex. In Salesforce: “1:1 Meeting”, but the wholesaler said “This was a branch meeting”. Change “1:1 Meeting” to “Branch Meeting” in DANA and Salesforce.

For Office Day, PTO and Rotation Location, select None.

Meeting Status

Capture as dictated or use the default type if none specified.

Completed is the default type.

RMM: “Please close and complete the meeting.” is completed.

For pre-scheduled meetings, select Scheduled.

For Office Day, PTO and Rotation Location, select Scheduled.

PM/CPM Attended

Yes if attended by PM/CPM

No if not attended by PM/CPM

Please check list below:

Alan Kirby

Alexi Makka

Amy Zhang

Ankur Crawford

Arthur Nowak

Brad Neuman

Brandon Geisler

Dan Chung

Daniel Brazeau

Donald Smith

Edward Minn

Ezra Samet

George Dai

Gregory Adams

Jennifer Silver

Joshua Bennett

Kevin Collins

Keye Chow

Lidney Motch

Matthew Weatherbie

Mike Mufson

Patrick Kelly

Sanjiv Talwar

Susan Cha

Tyler Foster

Yuda Goodman

CPM/PM

Capture as dictated. If none mentioned, leave it blank. Usually mentioned in the meeting notes.

Note Field

• Clean transcription. Proper use of grammar and punctuation.

• Omitting fillers e.g. uh’s, um’s.

• For emailed notes, no need to edit.

• Separate the follow-up task from the main note; put it in the Next Steps box, preceded by the Internal’s First Name (or his preference) if specified for the internal.

Ex. Wholesaler: “Assign a task to John…”

Write: “John, please…”

• All verbatim that are unable to be recorded in the note fields, should be placed in the note text.

Next Steps

Next steps box is for next steps and/or follow-ups.

Note: Not all next steps are follow-ups. But all follow-ups should be placed on the Next steps box.

Next Steps: No urgent action/follow-up needed. Should be specified by the wholesaler that it is a next step.

Follow-up: Urgent action/follow-up needed, or if the WS addresses the follow up to his internal partner. Should be specified by the wholesaler that it is a follow-up task.

Attendees

If the wholesaler explicitly said that he met with the “attendee/s”, put the advisor/s’ names in the Attendees box and not on the Advisor Name field.

Bridging Statement

Capture as dictated. If none specified, leave it blank.

Empower Activity Type

Capture as dictated. If none specified, leave it blank.

Type

Outgoing Call

Assigned To

Assigned to Internal Partner listed.

Due Date

Two business days unless specified.

Subject

Follow-up

Text

Follow-up notes.

Status

In Progress

Assigned To (Other)

If assigned to other RMA or the RMM himself.

Opportunity Creator – Wholesaler’s name

Advisor Name – FA name

Account Name – Firm/broker-dealer

*Opportunity Name – Required. Capture as dictated. If not specified, send clarification email.

Vehicle – Capture as dictated. If none specified, leave it blank.

Strategy – Capture as dictated. If none specified, leave it blank.

Create Date – Capture as dictated. If none specified, leave it blank.

*Close Date – Required. Capture as dictated. If not specified, send clarification email.

*Stage – Default is In the Pipeline unless specified.

*Opportunity Amount – in figures

Next Steps (Opps) – Capture as dictated. If none specified, leave it blank.

Opportunity Notes – Capture as dictated. If none specified, leave it blank.

Won/Lost Reason – Capture as dictated. If none specified, leave it blank.

(*) Required

Advisor Name

If not found in Salesforce but in FINRA, copy the name in FINRA except the middle name (if not provided) all in the First Name field.

If found in Salesforce, copy the name in Salesforce all in the First Name field.

CRD #

N/A

Spelled Tick Box

N/A

Firm

No need to populate firm.

Branch City/State

No need to populate branch city/state.

CRM Modification

Branch City/State

None

Broker/Dealer

None

Profile

• Select Added if the advisor is not in Salesforce and needs to be added.

• Select Changed if you are changing advisor’s profile.

Subject

Leave it blank.

Text

This is where you put the

following information (for adding/changing):

Name: (For changing)

Nick Name:

Phone:

Mobile:

Other Phone:

Phone Ext:

Hobbies/Interests/Family:

Alger VIP: (Check box)

Capital Markets: (Check box)

Firm Production Level: (Dropdown)

Your role on the team and Partners names:

Do Not Call: (Check box)

Assistant Name:

Add Info:

Email Opt Out: (Check box)

Email:

Website:

Retirement Focused: (Check box)

Separate each info with space after.

For adding, put the advisor‘s FINRA link and the address in FINRA on the SI box.

Retirement Focused

Select Yes/No if specified.

Adviser Platforms Used

Select platform/s that were used by the advisor.

Equity Product Mix

Select product equity mix that were used by the advisor.

Competitive Funds

List down competitive funds that were used by the advisor.

Other Business Consideration Notes

Other essential/substantial notes pertaining to the advisor.

Point of Contact

Put the POC name on this field.

Fund Selection Source

Capture as dictated.

Fund Selection Criteria

Capture as dictated.

Distribution List

Capture as dictated.

SWM Platform User

Capture as dictated.

401K Retirement Plan Business

Default is None. Select Yes if the RMM mentioned the advisor has a 401(k) business.

Actively Planning to Grow it

Select Yes/No if specified.

Percentage of your business

Select on the dropdown if specified.

Additional Retirement Details

Other essential/substantial notes pertaining to the advisor’s retirement business.

Number of Plans on the books?

Select on the dropdown if specified.

Preferred Service Providers

Select on the dropdown if specified.