Brokerage
Decide which prospect details improve adviser preparation, which questions require a licensed person, and who owns each follow-up.
1 published Field Note
Understand how relationship-led brokerages can prepare, route, and follow up on inquiries without automating professional judgment.
A brokerage intake system should prepare a useful human conversation, not decide suitability or give advice. It can capture the prospect's reason for reaching out, timing, preferred contact path, and the records needed for preparation, then route the inquiry to an accountable person within the firm's approved boundaries.
Prospect inquiries arrive through referrals, phone calls, forms, and events, but incomplete context and unclear ownership delay the qualified human response.
Three signals worth inspecting
- 01Prospects repeat their goals after handoff
- 02Sensitive questions enter generic forms
- 03Adviser follow-up has no visible owner
Intake Systems
These articles separate prepared prospect intake from advice, suitability, acceptance, and other decisions that remain with qualified people.
Field Notes on Brokerage
1 published Field Note
Archive membership and the published count come from the current Field Notes record. When an article title includes a number, review that article's linked source or stated method before using the figure in a decision.
