The journey of moving a prospect through your pipeline and handling complex client requests is no small feat—especially for Registered Investment Advisors (RIAs) bound by strict compliance. Traditional task lists often fall short when it comes to ensuring every step is followed in the right sequence, leaving space for operational missteps or compliance gaps. That’s where Salesforce Financial Services Cloud (FSC) Native Action Plans come in, transforming your processes into streamlined, auditable routines.
Action Plans in FSC allow you to turn your RIA’s critical processes—like client onboarding or annual reviews—into repeatable, structured templates. Each template generates a precise sequence of tasks triggered by an event, such as a new opportunity stage.
A key differentiator is prerequisite logic: for example, if a financial summary is required before sending a confirmation email, Action Plans enforce this order. This ensures steps are followed rigorously with zero guesswork.
Action Plans don’t just keep your process on track—they get the right work to the right people. With dynamic assignment, tasks are instantly routed to the appropriate team member, such as lead advisors or client admins. This frees up advisors to focus on higher-value activities and eliminates bottlenecks during team handoffs.
Connect Action Plans with Salesforce automation using tools like Flow so that checklists launch automatically when a prospect moves forward in your pipeline. The result? Real-time transparency and progress that leadership can immediately monitor, shifting pipeline management from static boards to actionable checklists.
Interactions and Interaction Summaries: These specialized FSC objects serve as the backbone of compliance, logging client meetings and notes—a necessity during audits. For quick setup, Einstein Activity Capture can be configured to sync emails and calendar events directly to Interactions.
Interest Tags: Easily tag clients with interests or unique attributes, like “dentistry” or “professional athlete.” These tags are fully reportable, so you can segment clients (e.g., organize a golf-themed appreciation event) seamlessly.
Custom Object for Gifts: Regulatory bodies like the SEC require oversight on client gifting. Creating a simple custom object in Salesforce lets you track gift values and dates, providing audit-ready reporting and compliance peace of mind.
Interest Tags: Easily tag clients with interests or unique attributes, like “dentistry” or “professional athlete.” These tags are fully reportable, so you can segment clients (e.g., organize a golf-themed appreciation event) seamlessly.
Custom Object for Gifts: Regulatory bodies like the SEC require oversight on client gifting. Creating a simple custom object in Salesforce lets you track gift values and dates, providing audit-ready reporting and compliance peace of mind.
For those looking to explore FSC further, Salesforce Foundations provides a sandbox environment—free of cost—complete with test credits. Use it to build proof of concepts, demonstrate tangible improvements to your team, and experiment with different use cases. The interface is designed for non-technical users, and ample resources exist to guide you.
Leveraging Action Plans, Interactions, Interest Tags, and simple automations ensure your firm not only stays compliant but also unlocks scalability. By moving away from manual workarounds, you can focus more on serving clients and growing your business.
Need help implementing these powerful Salesforce features? SOLVD.cloud specializes in configuring FSC for RIAs, helping you get up to speed quickly and painlessly.
From my initial call with Spencer through project implementation with John and Evan, my experience with the SOLVD team was excellent. They were quick to understand our business needs, clear when explaining the reasoning behind proposed solutions, transparent when reporting on progress and timeline, and all around enjoyable to work with. Would highly recommend and looking forward to continue working with them in the future!
SOLVD was very straight forward with everything needed to complete the project. No surprises, no issues, and cost was aligned with the estimate. They made implementation easy and quick.
As a rule, I'm pretty stingy with my recommendations. So it's a pleasure for me to recommend Solvd as a top-flight Salesforce consultancy. Solvd recently led our company's conversion to the Lightning interface and did it on time, on budget and made it easy for me and my team. I know I'll use their services again, and am confident they can do the same for you.
Start Automating Today
