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Maximizer CRM Wealth ManagerGetting Started GuidePublished By

Notice of CopyrightPublished by Maximizer Software Inc.Copyright 1988-2016All rights reserved.Registered Trademarks and Proprietary NamesProduct names mentioned in this document may be trademarks or registered trademarks ofMaximizer Software Inc. or other hardware, software, or service providers and are usedherein for identification purposes only.ApplicabilityThis document applies to Maximizer CRM Wealth Manager and Maximizer CRM 2016 R2software.

Maximizer Software Address InformationCorporate HeadquartersAmericasMaximizer Services Inc.208 W. 1st AvenueVancouver, BC V5Y 3T2CanadaPhone 1 604 601 8000Fax 1 604 601 8001Support 1 888 745 4645Email [email protected] www.maximizer.comKnowledge Base: www.maximizer.com/knowledgebaseEurope, Middle East, and AfricaMaximizer Software Ltd.1 The Courtyard, Eastern RoadBracknell, Berkshire RG12 2XBUnited KingdomPhone 44 (0) 1344 766 900Email [email protected] www.maximizer.com/ukAustralia/New ZealandMaximizer Software Solutions Pty. Ltd.Level 1, Suite 14, 32 Delhi RoadNorth Ryde, New South Wales 2113AustraliaPhone 61 (0) 2 9957 2011Email [email protected] www.maximizer.com/au

vContentsMaximizer CRM Wealth Manager .1Introduction.2Wealth Manager Solution Overview .2Differences from Maximizer CRM .3How to Use this Document.4Getting Help .4Manage Your Client Information .6Data Structure .6Adding New Contacts .7Search Catalog .9Key Fields Lists.10Auditing.11Working with Accounts .12Add an Account .12View the Accounts for a Client.13Service Your Clients .14Add a Service Plan.14View the Service Plans for a Client.15Streamline Common Business Practices .16Action Plans .16Schedule an Action Plan .18View Activities Scheduled from an Action Plan .18Microsoft Outlook Integration .19About Outlook Integration .19Install Microsoft Outlook Integration.19Track Emails from Your Clients .20Track an Email Address .20Items Included in Maximizer CRM Wealth Manager .21User-Defined Fields .21Dashboards .22Office Files .24Column Setups .24Using Maximizer to Collect KYC Information.25View Contacts with Upcoming KYC Reviews.25Schedule a KYC Review with a Client .27Capture KYC Data for a Client .30Investment and Insurance Tabs .31About the Investment and Insurance Tabs .31

CHAPTERMaximizer CRM WealthManager1In this chapter.“Introduction” on page 2“Manage Your Client Information” on page 6“Working with Accounts” on page 12“Service Your Clients” on page 14“Streamline Common Business Practices” on page 16“Microsoft Outlook Integration” on page 19“Items Included in Maximizer CRM Wealth Manager” on page 21“Using Maximizer to Collect KYC Information” on page 25“Deploying Web Forms to Collect Client Data” on page 1“Investment and Insurance Tabs” on page 311

2Maximizer CRM Wealth ManagerGetting Started GuideIntroductionMaximizer CRM Wealth Manager is a complete solution to helpprofessionals working in the financial services industry easily manageand build their ‘book of business’ with a simple to use, highly secureand easily customized solution.Maximizer CRM Wealth Manager includes user-defined fields, savedsearches, document templates, Action Plans, Dashboards and otheritems created with the wealth management professional in mind.Wealth Manager Solution OverviewMaximizer CRM Wealth Manager is an easy to use, powerful solutionto help professionals working in the financial services industrymanage client relations, build book of business value, and streamlinetheir practices. It’s the only simple to use, highly secure, and easilycustomized CRM solution for wealth management professionals.'One View' Client ProfileEnsure you have the most crucial customer information availableimmediately within one clear client profile. A detailed clientsummary provides a one-glance view of essential information aboutyour client including personal information, investment summary orany detail crucial to your business. The information you need is easilyavailable to gain a deeper insight into a client's interests and offerservices tailored to individual needs.Streamline Common PracticesUse easily adapted 'action plans' to manage repeatable standardpractices like new client onboarding, trade recommendations andstandard client acquisition processes. With 'action plans' you canensure the accuracy, consistency and compliance of all customerinteractions. By eliminating time consuming administration you canfocus on meaningful client engagements.Monitor Metrics and Track ResultsBuilt-in dashboards and reporting tools help you effectively manageperformance and track key metrics crucial to any wealthmanagement practice. Easily customize dashboard views to meet theneeds of individual advisors, business units and management

Chapter 13'Know Your Client'Easily develop a comprehensive client profile by capturing standard'Know your client' information within an intuitive and time savingclient profile. See all crucial client documentation and trackcompliance-regulatory checklists in one place. Avoid time consumingpaper work with easy to use Microsoft Word templates to prepopulate KYC details for client reviews.Manage Relationships - Anywhere, AnytimeKeep connected to clients no matter where you are with secureaccess to a client's complete profile over any smartphone or tablet.Update existing client requests, instantly respond to new prospectsand manage your business while out of the office.Differences from Maximizer CRMSome terms used in Maximizer CRM Wealth Manager have beenchanged from the terms used in Maximizer to make them moreapplicable to wealth management professionals. The followingterms are different:Default Maximizer CRMMaximizer CRM Wealth ManagerAddress BookContact ListIndividualHouseholdCompany LibraryOffice FilesCompany AnnouncementsDaily NewsCustomer ServiceClient Keep these differences in mind when you search for moreinformation on using any of the general features in Maximizer CRM.

4Maximizer CRM Wealth ManagerGetting Started GuideHow to Use this DocumentThis document describes the features of Maximizer CRM WealthManager and explains what makes it different from the regularversion of Maximizer CRM. The information in this manual is meantas a compliment to the main Maximizer documentation.Getting HelpMaximizer Help is your comprehensive guide to working with theMaximizer modules. As you work with Maximizer, you probablyalready know what business task you want to accomplish—such assending an email to many recipients, and recording your contactmanagement information. Maximizer’s help and guides have theanswers you are looking for.The types of documentation you can expect to find to help you withMaximizer include: Online Help – Online step-by-step instructions with a table ofcontents, an index, and search. Online manuals – Printable version of the online help that youcan read using Adobe Acrobat Reader.Open the Online HelpYou can look up Help topics the same way you would in a book—thetable of contents lists the topics in a logical order, and the index letsyou look up topics by keyword. Maximizer Help also lets you performa search for any word or words in any topic.You can access the online help over the Internet or stored on yourserver. When you first open the online help, you are prompted tochoose which version of the help you want to access. You can laterchange this setting in your preferences. The version of the onlinehelp on the Internet may contain more up-to-date information thanthe version stored on your server. In the top-right corner of a page, following pane, or dialog box,select the Help on the current page icon.If it’s your first time accessing the online help, you are promptedto choose the source of the help content. If necessary, select the source of the help content, and clickContinue. To view the most up-to-date content over the Internet, selectRetrieve the hosted online help content fromMaximizer.

Chapter 1 5To view content stored on your server, select Retrieve localonline help content.If you’re accessing the online help from a specific page or dialogbox, information associated with that page/dialog box isdisplayed.View Video TutorialsSome pages and dialog boxes provide links to video tutorials thatwalk through how to make the most of the features in Maximizer.Video tutorials are available in any page, following pane, or dialogbox where the Video help icon is displayed. You can also view a list ofall video tutorials from the icon bar. In the top-right corner of the page, following pane, or dialogbox, select the Video Help icon.A new browser window opens and displays the video tutorial. In the icon bar, select the Video Tutorials icon.The current list of video tutorials is displayed.

6Maximizer CRM Wealth ManagerGetting Started GuideManage Your Client InformationMaximize the value of your book of business by keeping all of yourclient history and documentation in a single, central location.Maximizer CRM makes it easy to gain insight into each of yourclient’s interests and investment preferences, and offer servicestailored to their individual needs and manage relationships, ratherthan records.Maximizer CRM Wealth Manager stores all of your client informationin the Contact List. The Contact List page helps you to manage yourclient list, and is the starting point for servicing new and existingclients.Maximizer CRM also provides useful tools such as Search Catalogs tohelp you to retrieve a list of the clients that you need to work withnext, as well as Key Fields lists and Column Setups that ensure theinformation you need about your clients is always at your fingertipswhen you need it.Data StructureEvery Contact in the system must be associated with either aHousehold or a Company. Contacts cannot exist on their own inMaximizer.If you have a single Contact who doesn’t belong with anyone else,you must create a Household or a Company in Maximizer for thatContact.Households and Contacts are separate entries in Maximizer. You canstore information in both entries. However, updating theinformation in one of the entries won’t automatically update theinformation in the other entry. You should choose which entryshould contain the financial information and primarily work withthat type of entry.

Chapter 17Record TypeThe Record Type field is a mandatory field that must be set when youcreate new Household and Contact entries. The Record Type field isused to define many of the predefined searches and dashboardindicators. The following values are used in saved searches Client – Used in all searches and dashboard indicators thatreturn information on clients. This is the value you will likely usefor most of your contacts. Prospect – Used in searches that return information onprospects.The other values in the field are for any other contacts that you wantto store in the Address Book.If you import a list of existing clients into the Maximizer CRM WealthManager database, you will need to edit the Record Type field in allimported entries. You can use the Global Edit command (Edit Global Edit) to modify multiple entries at the same time.Adding New ContactsWhen you add a new contact to Maximizer CRM Wealth Manager,you must add the Contact to an existing Household. First, add a newHousehold, and then add the Contact to the Household. If theContact is for a business, you can first create a Company instead of aHousehold, and then add the Contact to the Company.Add a Household Select the Contact List icon to open the Contact List page. Select Edit Add Household.– or –Next to Add in the view bar, click Household.The Details following pane opens with blank fields for your newentry. On the left side of the Details tab, enter basic information forthe Household. From the Key Fields for drop-down list, select the Basic InfoKey Fields list. In the Record Type field, select the type of entry you areadding.If the entry is for a new client, select Client.

8Maximizer CRM Wealth ManagerGetting Started Guide Enter values for any of the other fields, and click Save to savethe new entry.You may want to leave most of the fields empty in theHousehold entry and specify financial details in the Contactentries.Add a Contact Select the Contact List icon to open the Contact List page. In the main list, select the Household entry associated with theContact. Select Edit Add Contact.– or –Next to Add in the view bar, click Contact. In the left of the Details tab, enter basic information for theContact. From the Key Fields for drop-down list, select the Basic InfoKey Fields list. In the Record Type field, select the type of entry you areadding.The value in this field should match the value specified for theHousehold. Enter values for any of the other fields.From the Key Fields drop-down list, select other Key Fields liststo enter additional information for the entry. Click Save to save the new entry

Chapter 19Search CatalogMaximizer CRM Wealth Manager contains a number of predefinedsearches, called Search Catalogs, which can help you to quickly pullup a list of the next clients you need to work with.The search catalog stores advanced searches so that you can retrievethe searches at a later time. Each saved search stores all of theinformation set up in the Advanced Search dialog box.For example, if you wanted to retrieve a list of all of your clients witha KYC review coming up in the next month, you could use the builtin ’KYC Review - Next 30 days’ search.Many of the search catalogs included in the Maximizer CRM WealthManager will prompt you for the values to use in the search. Forexample, if you are looking for a list of clients who are retiring soon,you could use the ’Clients Retiring in ? Days’ search. When youretrieve this search catalog, you are prompted for the number ofdays to search for, so you can find clients retiring in the next week,month, or even year, depending on what you’re looking for. Many of the searches bundledwith Maximizer CRM WealthManager are used to displayinformation in dashboardindicators. If you modify asaved search, you may changethe behavior of thedashboards. The WMEStructure Info document in theOffice Files page containsdetails on the saved searchesused by dashboard indicators.To open a search catalog, in the Contact List page, select Search Search Catalog.Quick Access ToolbarThe Quick Access toolbar provides one-click access to your mostfrequently-used saved searches and Favorite Lists. Displayed at thetop of the icon bar, you can access the links from any page.In Maximizer CRM Wealth Manager, the Quick Access toolbarcontains links to some of the more important saved searches fromthe Search Catalog.

10Maximizer CRM Wealth ManagerGetting Started GuideWhen you select certain searches in the Quick Access toolbar, you areprompted to specify the values for the search. You can change thevalues of these searches each time you access them.Key Fields ListsKey Fields are important user-defined fields and system fields thatare grouped together on the Details tab in Contact List entries,Accounts, and Service Plans. Maximizer CRM Wealth Managerincludes a number of predefined Key Fields lists containing the fieldsrelevant to specific tasks.For example, the KYC View Complete Key Fields list contains thefields that are related to gathering KYC data.

Chapter 111And the Client’s Income and Main Bank Info Key Fields list containsfields related to the client’s income and banking information.AuditingMaximizer CRM Wealth Manager automatically records all changesmade to the basic fields, user-defined fields, notes, and files of yourcontacts, accounts, and service plans. You can view the entire changehistory for an entry in the Auditing following tab.View the Audit Log for an EntryYou can view the auditing history for a company, household, contact,account, or service plan from the Auditing tab in the following pane. Click on the entry to make it the current entry. In the following pane, select the Auditing tab From the Filter drop-down list, select a filter option to view theaudit log.

12Maximizer CRM Wealth ManagerGetting Started GuideWorking with AccountsThe Accounts module in Maximizer CRM Wealth Manager can helpyou to manage and grow and your book of business by usingaccounts to represent the assets, annuities, and insurance policiesunder management for your each of your clients.Each account in Maximizer is linked to a company or household, soby creating an account for each of your clients’ life insurance policies,investments, or annuities, you can keep a complete record of yourbusiness with the client.To help you get started using accounts to manage your book ofbusiness, Maximizer CRM Wealth Manager includes a number ofpredefined products/services and categories to represent the varioustypes of assets or insurance policies that a client may have. Each ofthe built-in categories also has an associated Key Fields list to groupthe relevant fields for that particular category.Add an AccountAccounts in Maximizer CRM are always associated with a contact.Before creating your new account, you will need to create a newcompany or household and contact or search for the existing clientcontact with which you want to associate the account. Click on the contact in your Contact List to make it the currententry. Select Actions Create an