Portfolio Allocation

clients: case study

A major financial service company needed to automate its paper-based investment risk tolerance assessment system and expedite the overall consultation and sales process for its Certified Financial Professionals ("agents") located throughout the US.

The company received estimates for automating this process through traditional programming, but the costs were too high and delivery too slow. Also, systems developed with traditional programming did not offer the rapid updating that would be required. The company turned to Neota Logic.

Neota Logic quickly created a prototype that implemented the investment risk-tolerance rules in the company's paper-based risk-tolerance questionnaire. In just a few weeks, Neota Logic produced a fully functional Asset Allocation Portal that:

  • Intelligently interviewed agents and clients on clients' financial needs and preferences.
  • Identified the most appropriate investment allocation.
  • Enabled agents to modify allocation based on discussions with the client.
  • Generated a signature-ready Asset Allocation Strategy Agreement.
  • Sent an email to company headquarters notifying them of the session and attaching the customized report for follow-up as needed.
  • Input all facts and conclusions into a database so that reports could be generated about use of the system and agent activity in the field.

Clients received faster, better service and an easy-to-read, personalized proposal document.

Agents streamlined their work-flow and ensured that the best allocation was always recommended in compliance with the many applicable regulations.

Sales executives increased the effectiveness of their agents and had a real-time view of what was happening in the field.

IT staff met the company's needs without burdening internal IT resources.

Regulators could review a detailed record of every proposal and were pleased that the system kept agents within the strict rules governing investment sales.

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