Client Annual Review Reports

Whether you're trying to see which client is missing an annual review, or to find completed reviews for a client based on dates, these reports will help.

Topics Covered

 

Navigating to Reports

In the navigation bar go to Reports and then click on Clients and Accounts.

On this page, you will see all the available reports for Clients and Accounts.  Your user Role will determine the reports that are available, and if you can filter by company or advisor.

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Annual Review Oversight Report

Applies to: CCO and Compliance roles.

Summary: Provides a report for client annual reviews in last 365 days. 

Export Options: CSV

This report compares advisor compliance with completing annual reviews and calculates the number of households and number of accounts affected.   The report can be run for the entire company, or by advisor.

Annual Review Oversight Report

This report can be downloaded as a .csv file for review or exam purposes.

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Forms Report for Annual Reviews

Applies to: CCO, Compliance and Advisor roles

Summary: Pulls all completed or saved annual reviews between two dates

Export Options: PDF, ZIP, CSV

This report creates a report for all completed or saved annual review forms between two dates. 

annual review forms report

The user has the option to export to CSV or PDF, as well as download the form and all of its attachments in a single zip file.   

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Missing Annual Review Reports

Applies to: CCO, Compliance and Advisor roles

Summary:  Searches for clients with missing annual reviews by quarter or by year

Export Options: CSV or PDF

Clients No Meeting by Quarter  

Here you can generate a report that lists all clients who have no last meeting date recorded within one year of the selected quarter.  

Missing Annual Reviews by Quarter

Clicking on the client name in the report results, takes you to the client page to complete the missing annual review.

Client No Meeting 365 Days

Here you can see all clients who have missing annual reviews within the past 365 day.

Clicking on the client name in the report results, takes you to the client page to complete the missing annual review.

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Scheduled Annual Reviews Report

Applies to: CCO, Compliance and Advisor roles

Summary: Lists all clients who have a next scheduled meeting date within the selected range.

Export Options: CSV or PDF

Lists all clients who have a next scheduled meeting date within the selected range.

Clicking on the client name in the report results, takes you to the client page to complete the missing annual review.

Scheduled Annual Reviews

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