Summer Strategies for Financial Advisors: CRM Clean-Up, Audit Prep and More
By Sandra Oshiro, Director of Marketing
Actually Managed: Your CRM as It Was Meant to Be
Your CRM isn’t just a tool—it’s the operational heartbeat of your firm. It's how we keep track of every client interaction, every detail, and every task that keeps your office running. But when was the last time you did a deep dive into your data?
Are there critical gaps—like missing birthdates, outdated email addresses, or incomplete contact records? Let the VOS team help you identify data holes with a comprehensive CRM data audit. We'll generate targeted reports, help you close the gaps, and ensure your client data is clean, complete, and audit-ready.
Streamlined Audit Readiness (With Less Stress)
If a regulator walked in tomorrow, could you easily pull the information they need?
Audit season doesn't have to be stressful. VOS can help you prepare by organizing your CRM data and creating custom workflows, templates, and reports that streamline the process. We’ll help you track and compile everything from client lists to compliance documentation so you’re always ready—no last-minute scrambling required.
We support you with:
Client & Contact Lists – Active, inactive, related persons, vendors, COIs, and more (including residency and AUM metrics)
Key Dates & Documents – Inception dates, risk profiles, ADV delivery, IPS dates, and policy acknowledgments
Account Attributes – Managed vs. non-managed, account types, discretion authority
Client Communication History – Centralized logging of email and correspondence
Compliance Framework – Workflows, repeatable tasks, and reporting that demonstrate a “culture of compliance”
Strategic Client Segmentation
Client segmentation is about more than labels—it’s about service clarity and firm efficiency.
Whether you segment by AUM, engagement level, or service tier (A/B/C or Gold/Silver/Bronze), VOS can help you formalize a meaningful segmentation strategy. We’ll help align it with CRM reporting, task tracking, and service delivery to ensure your team knows who gets what, and when.
A clear segmentation structure also supports scalability, improves client service delivery, and makes performance tracking much easier.
Tax Season Preparedness—Without the Panic
Tax season doesn’t need to feel rushed. VOS can help you proactively gather, track, and manage the tax-related documents and details your clients and their CPAs need.
We'll:
Ensure your CRM tracks key tax data fields like CPA contact info and document receipt dates
Set up processes to request client returns and securely deliver data to CPAs
Enable file-sharing workflows that simplify the experience for both clients and tax professionals
Let’s make next tax season a non-event.
New Client Data Collection: Make It Seamless
Still taking notes on paper or gathering client info piecemeal? There's a better way.
VOS can help you create a branded, secure, digital intake form to gather essential contact and financial data from prospects before your first meeting. The form can live on your website, be shared via email, or even embedded in your scheduling tool—making it easy for prospects and efficient for your team.
Want to revamp your current data sheet? Or create a new one from scratch? We’ve got you covered.
Expand Your Reach with Advisor-Centric Marketing Support
You’ve built trust with your clients—now let’s help you tell your story to future ones.
VOS now offers customized marketing services designed specifically for financial advisors. From email campaigns and newsletters to social media content, blog writing, and branded collateral, we’ll help you stay top-of-mind with clients and prospects all year long.
Our marketing support includes:
Content Creation – Blogs, newsletters, and client-friendly financial education pieces
Social Media Management – Branded, compliant posts and graphics tailored to your audience
Email Campaigns – Lead-nurturing sequences, event invitations, and firm updates
Marketing Automation Setup – Seamless CRM integration for smarter outreach
Custom Design Work – Flyers, brochures, branded forms, and more
Video editing, Website Management, SEO/AEO, PowerPoints (for webinars), and more…
Whether you're looking to stay connected, grow your audience, or reinforce your brand, our team can support your marketing goals with strategy and execution that fits your firm’s voice.
Let VOS Help You Make the Most of Summer
Whether you want to clean up your CRM, prepare for audits, launch a marketing campaign, or improve your client onboarding, the VOS team is here to make your summer productive—and your fall a whole lot easier.
Team Member Highlight!!
Celebrating Katy…..the heart, humor, and hustle behind the scenes at VOS….
We’re thrilled to shine a light on one of our outstanding Client Service Specialists, Katy!
She’s not just an exceptional Client Service Specialist, she’s the kind of person who leads with heart, shows up fully, and makes everyone around her feel seen, supported, and valued and well, she straight up makes us laugh! Her service goes far beyond checking boxes or meeting deadlines. Katy brings heart to everything she does, it’s in the way she listens with care, responds with grace and humor, and always—always—goes the extra mile.
In addition to her day-to-day role, Katy also serves as the Operations Manager for Gates Pass Advisors, one of our largest and most valued clients. In this capacity, she wears many hats, juggles countless responsibilities, and still manages to lead with calm, clarity, and care. Her ability to support both our internal team and one of our key partners is nothing short of extraordinary. (comment from Esther)
We are beyond blessed to have her, not just for the amazing service she provides, but for the joy, laughter, and light she brings to our team each and every day.
We would love to hear from you!
Click here to email Heather Rivera, our Director of Operations. Please also feel free to call our office at 954-271-2966.
Our virtual door is always open.
Know someone who would benefit from our services?