10 Operations Quick Wins for RIAs

Small changes that create immediate impact
These quick wins are organized by time investment. Each one addresses a common operational pain point and
delivers measurable improvement. Start with the 15-minute wins today, then tackle the larger projects as time
allows.

15-MINUTE QUICK WINS
Start here – complete one during your lunch break
Quick Win #1: Create Email Templates for Common Requests
The Problem: You’re rewriting the same emails over and over: “Here’s how to send us money,” “Here’s the
status of your distribution,” “Here’s what we need for your account opening.” The Quick Win: Create 5 saved
email templates in your email client: 1. How to Fund Your Account 2. Distribution Request Confirmation 3.
Account Transfer Status Update 4. Review Meeting Confirmation 5. Document Request Follow-up How to Do
It: • In Gmail: Settings → Advanced → Templates → Enable • In Outlook: Home → Quick Steps → Create New

• Save each template with placeholders like [CLIENT NAME] and [AMOUNT] Expected Impact: Save 30+
  minutes per day, reduce errors, ensure consistent client communication Time Investment: 15 minutes
  Quick Win #2: Set Up CRM Dashboards for Daily Tasks
  The Problem: You start each day not knowing what needs attention. You’re reactive instead of proactive,
  constantly putting out fires. The Quick Win: Create three saved views in your CRM: 1. “Today’s Activities” – All
  tasks and follow-ups due today 2. “This Week’s Reviews” – Upcoming client meetings in next 7 days 3.
  “Pending Actions” – Open items waiting on you or the client How to Do It: • Go to your CRM’s filter/search
  function • Create filters with the criteria above • Save them with clear names • Bookmark or pin to your
  dashboard Expected Impact: Never miss a follow-up, start each day with clarity, proactive client service Time
  Investment: 15 minutes

Quick Win #3: Create a ‘Client Onboarding Folder’ Template
The Problem: Every new client means scrambling to organize documents. You waste time creating the same
folder structure repeatedly. The Quick Win: Create a master folder structure template: • Client Name ■■■
Account Opening Documents ■■■ Financial Planning ■■■ Correspondence ■■■ Custodian Statements
■■■ Tax Documents ■■■ Compliance & ADV How to Do It: • Create this structure once in your file storage
system • Name it “TEMPLATE – New Client Folder” • When onboarding a new client, duplicate the entire folder •
Rename with client’s name Expected Impact: Consistent organization, easier compliance audits, faster
document retrieval Time Investment: 15 minutes

1-HOUR QUICK WINS
Dedicate one focused hour – the ROI is worth it
Quick Win #4: Standardize Your Client Review Meeting Agenda
The Problem: Every review meeting feels different. You forget to cover important topics, meetings run long,
and clients don’t know what to expect. The Quick Win: Create a standardized review meeting template: 1. Life
updates (10 min) 2. Portfolio performance review (15 min) 3. Progress toward goals (10 min) 4. Action items
from last meeting (5 min) 5. New topics/questions (10 min) 6. Next steps and scheduling (10 min) How to Do It:

• Document your ideal meeting flow • Create a printed agenda template (or digital) • Add standard questions for
  each section • Share agenda with clients 48 hours before meeting Expected Impact: More productive
  meetings, happier clients, consistent service delivery Time Investment: 1 hour
  Quick Win #5: Build an Account Opening Checklist
  The Problem: New account openings take forever. Documents get missed, custodians reject applications, and
  you’re constantly following up. The Quick Win: Create a step-by-step checklist that covers: • Required
  documents for each account type • Information needed from client • Forms to be completed • Signatures
  required • Review process before submission • Follow-up timeline How to Do It: • List every step in your current
  process • Note where delays typically happen • Add quality checks at key points • Include custodian-specific
  requirements • Convert to a checklist format (use Template 5 from the Task Templates Pack as inspiration)
  Expected Impact: 50% reduction in account opening time, fewer rejections, better client experience Time
  Investment: 1 hour

Quick Win #6: Automate Your Review Scheduling
The Problem: Scheduling reviews is a never-ending email tennis match. Clients don’t respond, reviews don’t
get scheduled, and you fall behind. The Quick Win: Set up a scheduling automation: • Use a scheduling tool
(Calendly, Microsoft Bookings, etc.) • Create a 60-day advance email workflow • Include direct booking link •
Set up automatic reminders How to Do It: • Sign up for a scheduling tool (many have free tiers) • Connect to
your calendar • Create your available time slots • Build an email template with the booking link • Set up a CRM
workflow to trigger 60 days before review date Expected Impact: 90%+ booking rate, eliminate scheduling
back-and-forth, fill your calendar proactively Time Investment: 1 hour
Quick Win #7: Create a Weekly Operations Meeting Agenda
The Problem: Your team isn’t aligned. Things fall through cracks. No one knows who’s responsible for what.
The Quick Win: Institute a 30-minute weekly operations meeting with a standard agenda: 1. Review pending
client requests (5 min) 2. Upcoming client reviews this week (5 min) 3. Account transfers in process (5 min) 4.
Issues/roadblocks discussion (10 min) 5. Next week’s priorities (5 min) How to Do It: • Schedule recurring
meeting (same day/time each week) • Create agenda template • Assign someone to take notes • Track action
items in CRM • Follow up on previous week’s items Expected Impact: Better team communication, fewer
dropped balls, proactive problem-solving Time Investment: 1 hour (to set up), then 30 min/week

2-HOUR QUICK WINS
Bigger time investment, bigger impact – schedule these for a Friday afternoon
Quick Win #8: Document Your Money Movement Procedures
The Problem: Money movement requests are handled inconsistently. Different team members follow different
processes, leading to errors and delays. The Quick Win: Create written procedures for all money movement
scenarios: • Client contributions (IRA vs. taxable vs. 401k rollover) • Client distributions (regular vs. RMD vs.
emergency) • Transfers between accounts • Rebalancing trades • Wire requests vs. ACH vs. checks For each
scenario, document: • Required information from client • Forms needed • Authorization requirements •
Verification steps • Timeline expectations • Common issues and solutions How to Do It: • Use Template 4 from
the Task Templates Pack as a starting point • Walk through actual recent money movements • Document every
step you took • Note where you had questions or delays • Share with team for feedback • Store in accessible
location (shared drive, wiki, etc.) Expected Impact: Faster processing, fewer errors, consistent client
experience, easier to train new staff Time Investment: 2 hours
Quick Win #9: Audit and Clean Your CRM Data
The Problem: Your CRM is full of outdated information, duplicate contacts, and missing data. Reports are
inaccurate and you waste time searching for information. The Quick Win: Run a focused 2-hour CRM cleanup
sprint: First Hour – Identify Issues: • Run reports to find: blank review dates, missing AUM, contacts without
assigned advisor • Export data to Excel for analysis • Identify patterns (e.g., all contacts added before 2020 are
missing phone numbers) Second Hour – Fix Priority Items: • Update review dates for A-clients (your top 20%)

• Fill in missing AUM for top clients • Remove obvious duplicates • Update advisor assignments How to Do It: •
  Block 2 hours on calendar • Start with highest-value clients • Use bulk update features where possible •
  Document recurring issues for systematic fixes later Expected Impact: Better reporting, easier filtering, more
  confidence in data, foundation for ongoing cleanup Time Investment: 2 hours (use the full 6-week Redtail
  Cleanup Checklist for comprehensive cleanup)
  Quick Win #10: Build a Client Communication Calendar
  The Problem: Client communication is sporadic and reactive. Clients only hear from you when there’s a
  problem or it’s review time. The Quick Win: Create a 12-month client communication calendar: Monthly
  touchpoints: • Market commentary (1st of month) • Planning tip (mid-month) Quarterly: • Performance update
• Review scheduling (for clients due that quarter) Annual: • Year-end tax planning reminder • Holiday greetings
• Annual letter from advisor How to Do It: • Map out all 12 months in a spreadsheet • Assign specific content
  topics to each month • Schedule recurring reminders to create content • Use email marketing tool or CRM to
  schedule sends • Create templates for recurring messages Expected Impact: Consistent client engagement,
  reduced attrition, more referrals, proactive relationship management Time Investment: 2 hours (to plan), then
  1-2 hours/month to execute

GETTING STARTED
Choose one quick win from the 15-minute category and implement it today. Once completed, move to a 1-hour
win next week. Build momentum by stacking small improvements. Pro Tips for Maximum Impact: 1. Don’t try

to do everything at once: Implement one win, let it stick, then add another 2. Measure the impact: Track time
saved or errors reduced to prove ROI 3. Get team buy-in: Involve staff in choosing which wins to tackle first 4.
Document as you go: Turn these wins into permanent procedures 5. Share the wins: Celebrate
improvements with your team Remember: Operations excellence isn’t built in a day. It’s built through consistent
small improvements that compound over time. Start small, start today.