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How Do You Conduct a Year-End Review for Your Clients?

Every year-end, comes the moment of truth for Wealth Managers, Priority Bankers, Private Bankers, Portfolio Managers, Fund Managers and Investment Professionals.

How would this year be?  Is this another year of outstanding performance?  Or is this another year of failed promises?  Perhaps, just another so-so year.

Read More: 10 Questions Every Client will Ask Every Year-End

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For Wealth Managers and Investment Professionals, how do you conduct a Year-End Review for your clients?

No. 1  Should You Conduct a Year-End Review for Your Clients?

Relationship Manager with Family
Relationship Manager with Family

You have to or it is mandatory to conduct a year-end review.

But do you really have to conduct a Year-End review for your clients?  But doesn’t the year end only on the 31st of December.  So, you can only do one in early January – if you get to meet all your clients in January.

Is that going to be a review or shaping up new plans for the new year?


No. 2 Portfolio Perfomance

For clients who have a vast amount of wealth, or growing wealth, the portfolio performance would make little difference to their life.

For clients who need the portfolio to grow or be preserved, the portfolio performance is important.

Any early review of the portfolio performance in November and December will give an idea of what your clients will expect or will do in the following year.  This ultimately impacts your business & revenue growth.

After all, there isn’t nothing much you can do to impact the portfolio performance in November & December.


No. 3 Identify Needs & Opportunities

Lamborghini Car
Lamborghini Car

The holiday period is where most people take their mind off work and reflect upon the year.  It is also time where they managed their private matters more attentively.

This is perhaps the optimal time to discuss about potential financial needs for clients.  It inevitably brings up major financial discussions that bring in more business opportunities for you.


No. 4 Managing Expectations

Did some of the promises fail to live up to expectations? Are clients comparing to superior products, solutions and performances?

The year-end review is not merely a rewind of what already had been done.  It is the time to re-set the expectations of what clients had, maybe wrongly.

And those expectations might have changed as clients could be more financially aware, savvy, especially if you had advised and educated them well this year.  Since most clients get their information source from mainstream media including financial media, they might be getting overhyped information and make decisions like everyone else.


No. 5 Identify Major Trends

What is going to happen in the future?  Will there be an economic boom or crisis?  Which insurance company or bank will be in trouble next year?  Which business sector will flourish?

The year-end review is a great time to discuss about why wealth management and financial planning are important – planning and managing the future.  Spotting and identifying major trends is a fun conversation to have.


No. 6 Building Relationship

Supporting a Distressed Client
Supporting a Distressed Client

No matter how great you are at managing money, the only reason why you are managing the money is because you had earned your client’s trust.  And that trust is often vulnerable.

Wealth Managers spend lots of time nurturing a strong relationship with client.  And the year-end review, is probably just another great reason to take that relationship further.




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