100 Items to Delegate Next to each item, place an “X” in the box that represents who performs the task. Please total the number of boxes containing an “X” in each column. W – Wealth Advisor; T – Team Member; N – Not performed in practice Clerical W T N W T N □ □ □ Answering most calls prior to Advisor □ □ □ Making coffee □ □ □ Scheduling appointments □ □ □ Making cookies □ □ □ Composing letters and requesting paperwork □ □ □ Washing dishes □ □ □ Opening incoming mail □ □ □ Taking out the trash □ □ □ Completing new account paperwork □ □ □ Typing agenda for staff meetings □ □ □ Following up on paperwork □ □ □ Creating minutes for staff meetings □ □ □ Resolving compliance requests □ □ □ Typing agenda for staff retreat □ □ □ Getting compliance approval of letters □ □ □ Writing minutes for staff retreat □ □ □ Filing accurately □ □ □ Typing agenda for Advisory Council meetings □ □ □ Updating home office contact list □ □ □ Typing minutes from Advisory Council meetings Totals: Wealth Advisor ____ Team Member ____ Not Performed ____ Administrative W T N W T N □ □ □ Tracking licensing and CE requirements □ □ □ Contacting clients about RMDs
□ □ □ Tracking transfer process □ □ □ Contacting clients on account debits □ □ □ Processing trades accurately □ □ □ Handling client’s check requests □ □ □ Researching securities □ □ □ Making deposits to bank □ □ □ Rebalancing portfolios □ □ □ Sending overnight packages □ □ □ Resolving A, B, and C client issues □ □ □ Improving appearance of office □ □ □ Preparing updates or reviews □ □ □ Providing feedback on mission statement □ □ □ Mailing follow-up letters to clients □ □ □ Re-enforcing account minimum □ □ □ Updating outside vendor contact list □ □ □ Creating newsletter for clients □ □ □ Tracking commissions □ □ □ Sending random acts of kindness Totals: Wealth Advisor ____ Team Member ____ Not Performed ____ Love Affair MarketingTM W T N W T N □ □ □ Calling A and B clients quarterly □ □ □ Creating invitations for client events □ □ □ Obtaining hobbies and personal information from clients □ □ □ Obtaining compliance approval for events □ □ □ Sending annual client survey □ □ □ Finding location for client events □ □ □ Scoring on annual client survey □ □ □ Negotiating prices for client events □ □ □ Sending referral letters to A+ and A clients □ □ □ Printing nametags for client events □ □ □ Sending gifts (birthday, anniversary) □ □ □ Removing Advisor distractions at events □ □ □ Scheduling calls (birthday, anniversary) □ □ □ Having sign-in and evaluations at events □ □ □ Obtaining driver’s license numbers □ □ □ Recommending additional staff to assist at event
□ □ □ Resolving home office issues □ □ □ Compiling evaluation scores □ □ □ Updating account forms every 36 months □ □ □ Researching client gift ideas Totals: Wealth Advisor ____ Team Member ____ Not Performed ____ Office Management W T N W T N □ □ □ Maintaining office equipment □ □ □ Reviewing staff performance □ □ □ Maintaining office space (heat, air) □ □ □ Setting goals for pay □ □ □ Making copies □ □ □ Hiring payroll service □ □ □ Purchasing postage □ □ □ Creating job descriptions □ □ □ Ordering supplies □ □ □ Interviewing potential new hires □ □ □ Ordering prospectuses □ □ □ Creating new hire checklist □ □ □ Ordering applications from external vendors □ □ □ Writing employee handbook □ □ □ Ordering from home office □ □ □ Keeping Advisor on schedule □ □ □ Ordering letterhead and business cards □ □ □ Tracking employee satisfaction □ □ □ Keeping closed account files organized □ □ □ Researching benefit options Totals: Wealth Advisor ____ Team Member ____ Not Performed ____ Systems and Technology