Systematize Your Practice

January 17, 2026 4:51 pm Published by Max Bolka Leave your thoughts

What should you systematize? All aspects of your business, including:

1. Marketing – Automate it. Many Advisors either can’t or won’t do any marketing at all, no less develop a cohesive marketing plan. The good news is that dozens of low cost/no cost traditional marketing methods are still effective, and technology has evolved to the point of enabling FAs to hire outside digital marketing agencies with end-to-end programs.

2. Sales – Know how to qualify, introduce and explain what you do for a living. Learn how to close new business in just one meeting. (Yes, it’s possible, really.) The icing on the cake? When you systematize your sales process, you can end up getting pre-qualified referrals who are expecting your call.

3. Client Intake – From the moment your prospect says, “How do we get started?” you need a system for efficiently handling all the paperwork for onboarding without killing yourself or your new client. Again, proper use of technology can help here. Whether you use DocuSign & LaserApp, or meet your client at the office to sign paperwork and then take them to lunch or dinner to celebrate your new relationship, have a system in place for what happens with all that paperwork, including follow up to make sure it lands where it’s supposed to.

4. Client Service – An extension of #3 above, what happens after your client signs on? Have a plan for the first day, week, month, quarter, six months and one year from now. Think of these as your Deliverables, both tangible and intangible, and have an automated, documented system in place for tracking and implementing.

5. Operations/Admin – Operations connects everything on this list, and throws in “everything including the kitchen sink.” Document the daily running of your office, from opening to closing. If you don’t write it down and assign responsibility, don’t be surprised when it doesn’t get done. An Operations Manual is essential to ensure productivity of new staff.

6. HR/Staffing – Speaking of new staff, many Advisors lack a clearly documented system for hiring, firing, training, supervising, motivating, compensating and incentivizing employees. Independent recruiters abound out there, and can do a lot of the heavy lifting and sorting through candidates to help you find the right ones. In addition, computers today can actively solicit and put you in touch with qualified (ready, willing and able) candidates.

7. Time Management – Having clearly defined goals, a meaningful mission and a business plan will help you manage your time. Also, learn good personal time management habits such as how to structure your day for maximum productivity and least amount of stress. And finally, know how to graciously say, “No thank you” and have a system for how to handle the 1,000 daily interruptions from email, phone and staff. It’s not difficult once you know a few basis principles.

8. Project Management – Once you have a long term mission and know where you’d like to go, including a business and strategic plan, you can begin to chart out the accomplishment of your goals with a weekly planner going out at least 90 days, if not longer. This is how successful people get things done.

9. Financial Management – Finally, you might be surprised how many Advisors do not keep adequate books. You should have an easy system for tracking all your finances; Everything from where the money comes from (Revenue, Pipeline and Client Trackers), to monthly business and personal Profit & Lost Statements, and quarterly personal Net Worth Statements that tracks the progress towards your own financial independence.

In most cases, someone has already done exactly what you’d like to accomplish. Templates and help are available. You just need to ask. There’s no need to reinvent the wheel. Whether you do it yourself, seek professional help or decide to outsource altogether, systematizing your business will save you time, money and energy, and is essential to growing and managing your practice.

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