Financial advisory
Financial Advisory CRM for wealth, mutual fund and broking teams
Keep KYC status, risk profile, goals and SIP dates on one client record, with review reminders and a compliance log. Gandiv records the relationship; the advice stays with you.
Your pipeline, ready on day one
These stages come with the template. Rename, add or remove any of them.
- Stage 1LeadA prospect enquires about investing, a SIP or a demat account.
- Stage 2KYCKYC documents and verification status are collected and tracked.
- Stage 3Risk profilingThe client completes a risk questionnaire and the score is recorded.
- Stage 4Plan sharedA plan prepared by the advisor is shared and acknowledged by the client.
- Stage 5InvestedThe first investment or account opening is completed.
- Stage 6SIP activeRecurring investments run and their dates and amounts are tracked.
- Stage 7ReviewA periodic review call is held and the next review date is set.
What is a financial advisory CRM?
A financial advisory CRM keeps the client relationship in order: who the client is, whether KYC is complete, what risk profile they chose, which goals they are saving for and when each SIP renews. Gandiv shows a KYC board by status, records the risk score and goals as notes and fields, and reminds you before a SIP step-up, renewal or review is due. It keeps a compliance log of what was shared and when. Gandiv does not recommend products or give investment advice; those decisions and the regulatory duties remain with the registered advisor or distributor.
Why financial advisory teams need one
Problem
KYC is pending for weeks because nobody owns the follow-up.
With Gandiv
A KYC board by status lists each client's missing item and nudges the client until it clears.
Problem
Risk profiles live in scattered forms.
With Gandiv
The score and category are saved on the client with the date, so the file shows the basis of the plan.
Problem
Goals are remembered by the advisor, not the firm.
With Gandiv
Goal, target amount and horizon sit on the record and survive a change of relationship manager.
Problem
SIPs stop or expire without a call.
With Gandiv
Renewal and step-up reminders list every SIP due for action and who is calling.
Problem
Review meetings happen when someone remembers.
With Gandiv
A review calendar sets the next date at every meeting and lists overdue reviews.
Problem
Audit questions need proof of what was communicated.
With Gandiv
A compliance log stores disclaimers sent, consent, and dated call notes.
Key features
KYC
A KYC board by status
Track each client from documents requested to verified and complete, with the pending item named. Advisors see which clients are blocked, send a reminder with the checklist and move the file forward without chasing in chat groups.
- Status lanes from requested to verified
- Missing item named on the card
- Reminder with document checklist
KYC
- Status lanes from requested to verified
- Missing item named on the card
- Reminder with document checklist
Risk profile
Risk profiling recorded on the client
Store the questionnaire result, risk category and date, and flag when a profile is older than the period you set. Plans and notes can then refer to a profile that is current instead of one from three years ago.
- Score, category and date
- Stale profile warning
- Profile linked to plan notes
Risk profile
- Score, category and date
- Stale profile warning
- Profile linked to plan notes
Goals
Goal notes and portfolio context
Record goals such as education, home or retirement with target amount and horizon, and add portfolio notes and AUM. When the relationship changes hands, the new advisor can read the context rather than start from zero.
- Goal, amount and horizon
- AUM and holding notes
- Call history alongside goals
Goals
- Goal, amount and horizon
- AUM and holding notes
- Call history alongside goals
SIPs
SIP renewal and step-up reminders
Keep each SIP with amount, date, scheme name and mandate expiry, and be reminded before a mandate ends or a step-up is due. Clients with failed instalments appear on a list for a gentle call.
- Mandate expiry reminders
- Step-up due list
- Failed instalment follow-up
SIPs
- Mandate expiry reminders
- Step-up due list
- Failed instalment follow-up
Reviews
Review calendar that does not slip
Set review frequency by client tier and see all reviews due this week and overdue ones. Notes from each review are saved, and the next date is set before the call ends.
- Review frequency by tier
- Due and overdue lists
- Notes and next date saved
Reviews
- Review frequency by tier
- Due and overdue lists
- Notes and next date saved
Compliance
Compliance log and disclaimers
Attach approved disclaimers to messages, log consent and keep dated records of what was sent. The product does not provide investment advice or recommend products; a registered professional remains responsible for that.
- Approved disclaimer on messages
- Consent and communication log
- Export for audit review
Compliance
- Approved disclaimer on messages
- Consent and communication log
- Export for audit review
What is inside the template
Everything below is created in your workspace when you pick this template.
| Fields | Goals · Risk score · Risk category · AUM · KYC status · SIP amount and date · Next review date · Registration or advisor code |
|---|---|
| Automations | KYC pending reminder - every 3 days · SIP mandate expiry alert T-30 · Review due reminder to advisor T-7 · Birthday and anniversary greeting · Stale risk profile flag after 12 months |
| Reports | Clients by KYC status · SIPs due for renewal or step-up · Reviews due and overdue · AUM by advisor · Leads to invested conversion |
| Message templates | KYC checklist · Welcome and next steps · SIP mandate reminder · Review meeting invite · Market-risk disclaimer footer |
| Call script | Introduce yourself with your registration details and ask about the client's goals, time horizon and comfort with risk. Explain what documents KYC needs, remind that investments are subject to market risk, and fix a follow-up date. |
Fields
Goals · Risk score · Risk category · AUM · KYC status · SIP amount and date · Next review date · Registration or advisor code
Automations
KYC pending reminder - every 3 days · SIP mandate expiry alert T-30 · Review due reminder to advisor T-7 · Birthday and anniversary greeting · Stale risk profile flag after 12 months
Reports
Clients by KYC status · SIPs due for renewal or step-up · Reviews due and overdue · AUM by advisor · Leads to invested conversion
Message templates
KYC checklist · Welcome and next steps · SIP mandate reminder · Review meeting invite · Market-risk disclaimer footer
Call script
Introduce yourself with your registration details and ask about the client's goals, time horizon and comfort with risk. Explain what documents KYC needs, remind that investments are subject to market risk, and fix a follow-up date.
By role
Firm owner or branch head
- Clients by KYC status and AUM
- Reviews overdue by advisor
- Lead to invested conversion
Relationship manager or telecaller
- KYC and SIP call lists
- Goals and risk profile on the call
- Review scheduling
Compliance and operations
- Communication and consent log
- Disclaimer templates
- Mandate and document tracking
Integrations for this industry
Related industries
Frequently asked questions
Does Gandiv give investment advice?
No. It is a record-keeping and follow-up tool. Recommendations and plans come from you as a registered advisor or distributor, and you remain responsible for suitability and disclosures.
Is it SEBI compliant?
Gandiv does not hold a SEBI registration and is not a substitute for yours. It helps you keep consent, disclaimers and communication records, but you must follow SEBI and AMFI rules for your registration type.
Can I track mutual fund SIPs?
Yes, as client records with scheme, amount, date and mandate expiry. It does not connect to the AMC or registrar, so update figures from your statements or sheets.
How are disclaimers added to messages?
You save approved disclaimer text and attach it to templates. Messages sent from those templates carry it automatically.
Can I keep sensitive client data private?
Yes. Role permissions, number masking and export limits keep client details visible only to the people who need them. Follow the DPDP Act for consent and retention.
Start with the financial advisory template
Your pipeline, fields and messages are created for you. Change anything later.