Case Study · Wealth Management · New York
A New York wealth firm ran on spreadsheets and feared every audit. We built Financial Services Cloud they could defend.
Advisors kept client context in their heads, onboarding took weeks, and every FINRA or SEC request was a fire drill. We delivered Financial Services Cloud with audit-ready trails in ten weeks.
Industry
Wealth management / RIA
Platform
Financial Services Cloud + Experience Cloud
Timeline
10 weeks to production
Outcome
50% faster onboarding
The challenge
A New York wealth-management firm
Advisors managed relationships worth millions from spreadsheets and inboxes. Household connections lived in people’s heads, onboarding a new client took weeks of back-and-forth, and a regulator’s document request meant days of manual reconstruction.
Client context trapped in spreadsheets
Household relationships, referrals, and account structure were undocumented, so a departing advisor took the relationship with them.
Onboarding measured in weeks
New-client paperwork moved by email and manual data entry, delaying funded accounts and first impressions.
Every audit was a fire drill
With no consistent trail of who changed what and when, FINRA and SEC requests meant days of manual reconstruction and real risk.
The architecture
Relationships, onboarding, and compliance on one system built for regulated advice
We modeled households and referrals in Financial Services Cloud, automated onboarding end to end, wired audit-ready trails into every record, and gave clients a portal worthy of the relationship.
Sources
Salesforce core
Compliance & automation
Automated client onboarding with field-level audit history and FINRA and SEC-aware controls.
Outcomes
What we built
Financial Services Cloud
Household and relationship modeling, referral tracking, and the account structure wealth teams actually work in.
Automated onboarding
Guided, compliant onboarding that cut a multi-week process to days and freed advisors from data entry.
Audit-ready compliance
Field-level history, sharing rules, and access controls designed to withstand FINRA and SEC scrutiny.
Client & investor portal
An Experience Cloud portal giving clients a secure, polished window into their relationship.
How we delivered
10 weeks to production, start to finish
Discovery & audit
We mapped the process, data quality, and the single metric that mattered most.
Design & data model
Data model, security model, and an automation blueprint signed off before a line was built.
Build & migrate
Configured in a sandbox, wired to existing systems, with a careful, verified data migration.
Test & parallel run
User testing and a parallel run against the live system until the numbers held.
Launch & tune
Production launch, role-based training, and 30 days of monitoring and tuning.
The results
What changed for the business
| Metric | Before | After |
|---|---|---|
| Client onboarding time | Weeks | Days |
| Advisor time on selling | Baseline | +30% |
| Audit response | Days of rework | Audit-ready |
| Household visibility | In advisors’ heads | 360 view |
| Client portal | None | Live |
| Time to production | — | 10 weeks |
“When our last audit request came in, we answered it the same afternoon instead of losing a week to it.”
Chief Compliance Officer · New York wealth-management firm
Building compliant Salesforce for a New York firm?
Book a free 30-minute scoping call. We will map households, onboarding, and audit trails onto Financial Services Cloud and hand you a compliance-aware plan, at no cost.
Client identifying details have been anonymized at the client's request. Metrics reflect the outcomes of a real engagement.