MOPS for Advisor Enablement: Scale Personalized Growth, Stay Compliant
Wealth firms enable advisors by unifying MOPS, Sales Ops, and Compliance—so leads, meetings, proposals, and disclosures move in lockstep from first touch to AUM growth.
Direct Answer
Wealth firms use MOPS to package compliant plays—from event-based nurturing to advisor-ready meetings, proposals, and disclosures. MOPS owns taxonomy, consent, content libraries, and routing; Sales Ops owns territories, tasks, and sequencing. Together they measure appointment rate, time-to-proposal, win rate, AUM inflow, and retention, with automated supervision and archives for FINRA/SEC.
What Changes for Advisor Enablement?
Advisor Enablement Playbook
Use this sequence to turn compliant content into meetings, proposals, and AUM growth.
Define → Instrument → Nurture → Route → Meet → Propose → Win/Onboard → Govern
- Define KPIs & SLAs: Appointments, proposal cycle time, win rate, AUM inflow; owners and escalation paths.
- Instrument signals: Consent, preferences, life events, rollover intent, content engagement; unify IDs across CRM & MAP.
- Nurture compliantly: Pre-approved journeys with disclosures and archiving; suppress by suitability/risk rules.
- Route to advisors: Territories & specialties; auto-create tasks, add to sequences, attach prep packs.
- Meet prepared: Agenda, discovery template, and household snapshot delivered to advisor and client.
- Propose & disclose: Model portfolio templates with goals, risk, fees; generate required docs and capture attestations.
- Win & onboard: Account opening tasks, transfer of assets, digital vault setup, and first-90-day touchpoints.
- Govern: Monthly supervision: content approvals, exceptions, audit logs; reallocate to top-converting plays.
Wealth MOPS Enablement Maturity
| Capability | From (Ad Hoc) | To (Operationalized) | Owner | Primary KPI |
|---|---|---|---|---|
| Content & Disclosures | Static PDFs | Compliant content library with versioning & advertising review | Marketing/Compliance | Approval SLA, Audit Pass |
| Signal→Task Routing | Manual forwarding | Rules-based routing to advisor sequences with SLAs | Sales Ops | Speed-to-Appointment |
| Proposal Orchestration | Rebuild every time | Templates aligned to suitability, fees, and disclosures | Enablement/Advisory | Proposal Cycle Time, Win Rate |
| Attribution & Householding | Click metrics | Touch→Meeting→Proposal→AUM inflow with household rollups | RevOps/Analytics | AUM Inflow, ROMI |
| Advisor Workbench | System hopping | One pane with content, tasks, scheduler, and archives | MOPS/Sales Ops | Advisor Productivity |
Client Snapshot: Meetings to Managed Money
A national RIA standardized compliant journeys and signal-based routing. Advisors received prep packs and proposal templates automatically, cutting cycle time and lifting AUM inflow. See how we support this with: Marketing & RevOps Tech Services · Revenue Marketing eGuide
Map enablement to this workflow and use the eGuide plus maturity assessment to prioritize your next best plays.
Frequently Asked Questions: Advisor Enablement with MOPS
Enable Advisors. Grow AUM. Stay Compliant.
We’ll align MOPS, Sales Ops, and Compliance to turn signals into meetings, proposals, and managed money.
See Marketing & RevOps Tech Services