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