Glivent for financial services

Turn client information into a complete advice file ready for authorised review.

Client onboarding and advice work depend on information that is current, supported and connected to the right person. Glivent can collect and check records, complete approved administration and keep exceptions visible while licensed people make the advice and compliance decisions.

See an example advice-file flow Discuss your operation

Onboarding and client identityFact finds, evidence and advice filesOngoing service and compliance records

Example advice-file flowGlive Flow

Fact findEvidenceProvider records

ADVICE FILEAnnual review · Client 4108

Adviser review

Client information matchedFact find, CRM and evidence connected
Routine gaps followed upCurrent supporting records requested
Changed circumstance needs reviewSource, date and affected file sections included

CONTROL POINTAdviser decides the advice and approval

File readyNext step prepared

Routine preparation continues while advice and compliance decisions stay with authorised people.

The real work

A completed form can still leave the advice file incomplete.

A fact find may contain an answer for every field while the supporting evidence is old, inconsistent or stored somewhere else. Staff still need to work out what can proceed and what needs a decision.

Client information changes between meetings

Income, assets, liabilities, insurance, beneficiaries, objectives and circumstances may change while records in the CRM, fact find and provider systems drift apart.

Evidence comes from several sources

Identity documents, statements, payslips, policies, authorities and provider information may arrive across portals, email, uploads and meeting notes.

Advice depends on more than document completeness

A complete file supports the process, but it does not decide whether advice is appropriate, in the client's best interests or ready to issue.

Ongoing service creates recurring obligations

Reviews, fee arrangements, consents, client changes, implementation steps and file records can each create follow-up across the adviser, support team and client.

One practical starting point

Turn a fact find and supporting evidence into a review-ready advice file.

This is one example of what Glivent could do in a financial advice business. During discovery, we would adapt it to your licence, services, client types, CRM, advice process, AML/CTF program and approved controls.

01
Collect the client information
Keep fact-find responses, identity material, authorities, statements and meeting notes connected to the correct client and scope.
02
Check the agreed requirements
Compare required fields, evidence dates, signatures and client details using the firm's approved process.
03
Resolve routine gaps
Request clearly missing documents or explanations and update permitted CRM and workflow fields.
04
Assemble the advice file
Prepare the approved research, evidence, file notes, calculations and document inputs with links back to their source.
05
Route authorised review
Present inconsistencies, assumptions, compliance questions and open client decisions to the responsible adviser or reviewer.

Your client, advice and compliance systems remain authoritative. Glive can gather and check information, update records, prepare files and complete approved follow-up. Licensed and authorised people decide client acceptance, customer risk, advice, suitability, disclosure, approval and reportable matters.

The Glive System

Connect the client record with the evidence and work behind it.

Advisers and support staff should not need to compare the fact find, CRM, inbox, provider portal and advice document to see what is current and what still needs attention.

Glive Flow

Complete approved onboarding and advice administration.

Collect information, apply firm rules, update connected records, run routine follow-up and route exceptions with the source attached.

Glive Chat

Work with approved client and firm knowledge.

Help authorised staff find current client information, procedures and controlled document sources within their role and purpose.

Glive Pod

Keep suitable financial-information work onsite.

Approved tasks involving sensitive client financial information can use Private AI on the Glive Pod when local processing is the right design choice.

Workflows worth testing

Start where client service repeatedly stalls between information and action.

Discovery checks what your CRM, advice, client portal, document, identity, provider, compliance and communication systems already handle before another workflow is proposed.

Client onboarding and due diligence

What arrives: A new client supplies identity, entity, authority, purpose and source information through the approved onboarding process.
What Glive does: Glive checks the firm's required information, completes permitted verification steps, updates records and follows up routine gaps.
Control point: Clear approved steps can continue automatically. Staff decide exceptions, customer risk, enhanced checks, acceptance and any required reporting.

Fact find and evidence updates

What arrives: A client completes or changes their circumstances, objectives, assets, liabilities, income, insurance or other relevant information.
What Glive does: Glive matches supporting evidence, flags inconsistencies, updates approved fields and requests clearly missing items.
Control point: Routine verified changes can continue. The adviser decides what is relevant, whether more enquiry is needed and how it affects the advice.

Advice-file preparation

What arrives: The team needs an advice file, file notes, research and document inputs ready for review.
What Glive does: Glive assembles the approved material, runs firm-defined checks and links each important fact or calculation back to its source.
Control point: The authorised adviser and reviewer decide the advice, appropriateness, best-interests reasoning, disclosure and whether the document can be issued.

Ongoing service and client changes

What arrives: A review, consent, fee arrangement, implementation step or client change becomes due.
What Glive does: Glive issues approved reminders, gathers current information, updates workflow status and completes routine administration after approval.
Control point: Routine service steps continue under firm rules. Advice changes, complaints, breaches and material compliance issues go to authorised staff.

Existing systems

Your client, advice and compliance records stay in charge.

Glivent first checks the features already available in your CRM, advice, client portal, document, identity, provider, compliance and communication tools. The aim is to improve the work between them, not create another client file.

Your systems and authorised people remain authoritative for

Client identity, authority, circumstances, objectives and risk records
Fact finds, evidence, research, advice files and disclosures
Advice, suitability, approvals and professional or licence decisions
Implementation, ongoing service, complaints, incidents and reporting

Glive can use them to complete approved work

Client forms, documents, portal updates and meeting outputs
Administrative checks, evidence matching and routine follow-up
CRM updates, advice-file preparation and source-linked exceptions
Approved communication and downstream actions after review

Go deeper

Financial-services questions and practical guides.

These resources explain client onboarding, KYC, advice records and human review in financial-services workflows in more detail.

How can Glivent improve client onboarding in a financial services business?

Glivent can review how client information, identity documents, supporting evidence and follow-up move through onboarding. A workflow can organise collection, show what is missing and send unusual cases to the right person. Authorised staff still make regulated approval and advice decisions.

Read the full answer

Where should human review sit in a financial services AI workflow?

A person should review the work before AI affects client eligibility, advice, disclosure, approval or another important client outcome. The reviewer needs the original source and the authority to correct or stop the workflow, not just an approval button.