Investment Plan Creation & Review Meeting Process - Workflow Library

Sep 12, 2026

This workflow library document provides an onboarding-ready, systematic process for creating an initial investment plan and conducting an ongoing plan review meeting with clients. It explains how a documented workflow supports consistent task execution and similar client experiences across prospects and clients. The package also outlines customization considerations, integration with other workflows, and how to obtain additional help, supported by process diagrams, checklists, and referenced resources.

LanguageEnglish

CategoryPresentations

FormatPDF

Pages22

Reading Time8 min

AccessFree to download

Tips and Best Practices for Successful Implementation of Workflows

Regarding Customization

Integration with Other Workflows

Getting Additional Help

Understanding the Investment Plan Creation and Review Meeting Workflow

The Onboard Client Workflow Series

Investment Plan Creation and Review Meeting Process Overview

Process Diagram

High-Level Process Checklist

Additional Resources

Building Client Relationships

Bringing New Clients Onboard and Servicing Them

Information Checklist

SCHWAB OPENVIEW WORKFLOW LIBRARY ™ ONBOARD CLIENT WORKFLOW SERIES: INVESTMENT PLAN CREATION & REVIEW MEETING PROCESS Document ID: 012359 Document Date: June 12, 2012 Document Version: 12.06.A Disclosures: The Schwab OpenView Workflow Library™ is a product of Schwab Intelligent Technologies ™ (“SIT”) made available exclusively to advisors that custody client assets with Schwab Advisor Services™ . Schwab Advisor Services includes the custody, trading and support services of Charles Schwab & Co. , Inc. (“CS&Co”), a registered broker-dealer and member SIPC. SIT provides technology solutions to independent investment advisors, while CS&Co provides them and their clients with custody, trading and related support services. SIT and CS&Co are separate companies affiliated as subsidiaries of The Charles Schwab Corporation, but their products and services are independent from each other. Schwab Advisor Center® is a website of Schwab Advisor Services™, which includes the custody, trading and support services of Charles Schwab & Co. , Inc. (“CS&Co”), a registered broker-dealer and member SIPC. SIT and CS&Co are separate companies affiliated as subsidiaries of The Charles Schwab Corporation, but their products and services are independent from each other. Independent investment advisors are not owned by, affiliated with or supervised by CS&Co. This document and the workflows and other information contained in it are provided for general information purposes only and are not tailored to the particular circumstances of your firm and its practices and processes. You may need to tailor the workflows and related information to your circumstances. You, and not SIT or any of its affiliates, are solely responsible for your practices and processes. See the Schwab OpenView Workflow Library Terms of Use available on the SIT website for additional information. For institutional use only. This material is meant for educational purposes and is not meant to provide investment planning, legal, tax, regulatory compliance advice. Consult professionals in these fields to address your specific circumstance. Screen shots are provided for illustrative purposes only and may be abridged. © 2012 Schwab Intelligent Technologies. All rights reserved. (0612-3670) TABLE OF CONTENTS TIPSAND BEST PRACTICES FOR SUCCESSFUL IMPLEMENTATION OF WORKFLOWS ____________________________________ 1 REGARDING CUSTOMIZATION __________________________________________________________________________ 1 INTEGRATION WITH OTHER WORKFLOWS___________________________________________________________________ 1 GETTING ADDITIONAL HELP ____________________________________________________________________________ 1 UNDERSTANDING THE INVESTMENT PLAN CREATION AND REVIEW MEETING WORKFLOW ________________________________ 2 THE ONBOARD CLIENT WORKFLOW SERIES _________________________________________________________________2 INVESTMENT PLAN CREATION AND REVIEW MEETING PROCESS OVERVIEW__________________________________________3 PROCESS DIAGRAM _________________________________________________________________________________3 HIGH-LEVEL PROCESS CHECKLIST _______________________________________________________________________ 7 ADDITIONAL RESOURCES_____________________________________________________________________________9 BUILDING CLIENT RELATIONSHIPS ______________________________________________________________________ 10 BRINGING NEW CLIENTS ONBOARD AND SERVICING THEM ____________________________________________________ 11 INFORMATION CHECKLIST ____________________________________________________________________________ 12 Income ________________________________________________________________________________________ 12 Earned Income _________________________________________________________________________________ 12 Unearned Income ________________________________________________________________________________ 12 Current Retirement Incom

FAQs

What is the purpose of the Investment Plan Creation and Review Meeting workflow?

It provides a foundational understanding of how to create an initial investment plan and conduct a plan review meeting with a client in a consistent, systematic way.

How does having a documented workflow help advisors?

A documented workflow helps organize client-interaction tasks so each event is repeated the same way and clients and prospects receive a similar customer experience.

What topics are covered to support successful workflow implementation?

The document covers best practices, customization guidance, integration with other workflows, additional help resources, and a process overview supported by diagrams and checklists.

Sep 12, 2026

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