Advisory firms, broker-dealers and trust teams use a health check to confirm that household data, advisor access and custodial feeds are reliable before regulators or clients ask.
A wealth management health check reviews the client, household and account data advisors use every day, and the controls compliance depends on. We examine Financial Services Cloud or custom household models, custodial and portfolio data feeds, advisor and team visibility, and how client communications and notes are captured and retained. We also check what happens when an advisor leaves or a book is transferred. Findings are ranked by regulatory and client confidentiality risk first, then by how much they slow advisors, service associates and operations staff in daily work.
Wealth firms rely on relationships that span families, entities and generations. A single household can include trusts, businesses and beneficiaries, and rollups must be right for advisors to trust net worth and revenue figures. Account data usually arrives nightly from custodians and portfolio systems, so feed failures quietly produce stale balances. Advisors often work in teams with shared and private books, and departures raise questions about who owns client relationships. Regulators expect firms to supervise communications and keep accurate books and records. Those factors make household accuracy, feed monitoring and advisor access the heart of a wealth review. Every other finding follows from them.
We review how households, individuals, trusts, entities and beneficiaries are related, and whether financial account rollups produce correct totals. Clients appearing in several households, orphaned accounts and relationships that were never updated after a death or divorce are measured. The findings show how often advisors see an incomplete picture of a family's assets and which structural fixes would prevent it.
We examine how balances, holdings and transactions arrive from custodians and portfolio management systems, how failures are detected and how unmatched accounts are handled. Accounts that stopped updating without anyone noticing are a frequent finding. We also check whether advisors can tell when data was last refreshed, since stale figures in a client meeting damage credibility quickly. Held-away asset imports are reviewed too.
Advisor teams, service associates, branch managers and home office staff need different views of client books. We test sample users, check how shared team books and private books are configured and review how access changes when an advisor leaves or a book transfers. Large exports by departing advisors and lingering access after a departure are ranked high. Supervising principals get their own test user.
We review how meetings, calls, emails and texts are logged, whether notes contain trade instructions or complaints that should trigger escalation and how captured content lines up with your archiving system. Records that can be edited or deleted after the fact receive attention, because supervisory and recordkeeping expectations make an unreliable history a compliance issue rather than a convenience. Missing complaint flags are counted.
Compliance and technology leadership set the scope together at kickoff; advisors, service associates and operations staff are interviewed afterward in short sessions. Access is read-only, and the review avoids quarter-end billing and reporting cycles. Anything suggesting that records can be altered or client data exposed goes to compliance promptly. The final report links each finding to the configuration or data supporting it, and separates what the Salesforce team can fix from what requires changes in custodial or archiving processes. Nothing is changed in production.
We check the feed schedule, account matching logic and error handling, and confirm that failed or partial loads raise alerts instead of leaving balances silently out of date.
We review how performance, holdings and billing data connect to households, and whether figures in Salesforce match what clients see on their reports.
We confirm which Salesforce activity is archived, whether text and chat logging tools are covered and whether retention settings conflict with any cleanup jobs.
Broker-dealers and registered investment advisers face FINRA and SEC expectations around supervision and recordkeeping. Understanding which Salesforce records count as required records is a compliance decision. The health check supplies the inventory of what is captured, editable and archived so that decision is made with facts.
Account numbers, tax identifiers, beneficiary details and estate documents are among the most sensitive data a firm holds. Confirm field-level security, file access and encryption settings, and check what integrations and managed packages can read, not only what users can see on page layouts.
AI meeting summaries and drafted client emails can save advisors time, but they create communications that may need supervision and retention. Confirm how generated content is stored and reviewed, and make sure agents cannot recommend products or reference accounts beyond the advisor's approved scope.
Client names are anonymized.
Not by itself, but it often means duplicated objects, custom rollups that break under large households and limited access to newer features. The review compares your model with the standard one, estimates what a move would involve and identifies where your custom design still serves a real need. Sometimes staying custom is the right answer, and the review says so.
We look at configuration and logs rather than individual client relationships. That means reviewing how ownership, team membership and sharing change when an advisor leaves, what exports occurred recently and how quickly access was removed in past departures. Interviews focus on operations and compliance staff, so advisors are asked only for a short conversation about daily workflow.
Yes. Trust and family office work adds trusts, entities, beneficiaries, fiduciary relationships and document-heavy processes. We adjust the review to cover those relationships, sensitive estate and tax documents and the separation between fiduciary and advisory activity. Smaller family offices also benefit from the access review, since a few users often hold broad administrator rights. Multi-generational access rules are sampled as well.
We trace how a new client moves from prospect to funded account: forms, identity verification, account opening requests and custodial status updates. The review identifies where information is rekeyed, where documents with account numbers are stored and where onboarding stalls because a status never syncs back from the custodian. Those gaps are ranked by client impact and compliance risk.
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