Data Governance & Migration Strategy
Data Inventory
Data & Data Sources
1. CRM (Client Data)
a. Key Data: Demographics, households, service tiers, notes, tasks, planning status
b. Primary Risks
• Incomplete fields (service tier, referral source, household size)
• Inconsistent advisor documentation
• Manual entry → data quality issues
• Fragmented workflows across advisors and CSAs
2. Orion (Portfolio Accounting & Performance Reporting)
a. Key Data: AUM, accounts, performance, billing, custodial feeds
b. Primary Risks
• Sync errors + manual reconciliation
• AUM discrepancies across books
• Weak CRM integration
• Onboarding data inconsistencies
3. eMoney (Financial Planning System)
a. Key Data: Income, expenses, assets, liabilities, plan outputs, review updates
b. Primary Risks
• Inconsistent advisor data‑gathering
• Planner backlog → outdated plan data
• Manual updates → version control issues
• Misalignment with CRM fields
4. Spreadsheets (Operational, Compliance, Advisor, CSA, Marketing)
a. Key Data: Onboarding trackers, NIGO logs, compliance checklists, marketing attribution, planning trackers, workflow logs, capacity models
b. Primary Risks
• Siloed, department‑specific data
• No version control
• High error + duplication risk
• Not integrated with CRM or Orion
• Reporting inconsistencies + rework
Data Quality: Missing Values, Duplicates & Inconsistent Fields
1. CRM
a. Missing: service tiers, referral sources, household relationships, meeting notes
b. Duplicates: households, contacts
c. Inconsistent Fields: naming conventions, tier definitions, referral fields
2. Orion
a. Missing: account metadata, custodial fields
b. Duplicates: accounts from failed feeds or manual re‑entry
c. Inconsistent Fields: AUM values, custodian naming
3. eMoney
a. Missing: planning inputs, updated plan values
b. Inconsistent Fields: advisor input styles, templates
4. Spreadsheets
a. Missing: timestamps, workflow statuses, documentation indicators
b. Duplicates: onboarding rows, planning logs
c. Inconsistent Fields: column names, status labels
Data Governance Gaps
1. Ownership Gaps
• No owner for CRM service tiers, referral sources, household mapping
• AUM reconciliation ownership unclear
• Planning data alignment not owned
• Spreadsheets lack centralized oversight
2. Process Gaps
• Advisors bypass CRM workflows
• CSA onboarding tracked in multiple spreadsheets
• Planning intake inconsistent
• Compliance review not integrated with CRM
3. Documentation Gaps
• No required field definitions
• No standardized onboarding/NIGO SOPs
• No planning templates or version control
• Compliance note requirements unclear
System Integration
Automating Data Flows
1. Advisors: household creation, service tiers, meeting notes, planning status, referral sources, plan updates
2. Client Service Associates (CSAs): onboarding entry, workflow updates, custodial metadata fixes, NIGO logs
3. Planners: full planning data entry, plan updates, review prep
4. Operations: CRM configuration, AUM reconciliation, integration fixes
5. Compliance Reviewers: documentation checks, exception logs
6. Marketing: referral cleanup, attribution tracking
Data Quality Dashboard
Data Note & Dashboard Purpose:
Because Northwest Wealth Partners is a fictional firm, real completeness, accuracy, and consistency metrics are not available; instead, this deliverable focuses on designing the dashboard framework, KPI definitions, and measurement logic that a real RIA would use once its systems are fully governed and integrated. In practice, these KPIs would be automatically populated through CRM, Orion, eMoney, and workflow integrations, giving leadership a real‑time view of data health and governance compliance. The purpose of the Data Quality Dashboard is to provide a unified, system‑wide snapshot of data completeness, accuracy, and consistency across all core platforms, supporting governance enforcement, migration sequencing, and reliable reporting.
Data Completeness KPIs
| KPI | Definition | Source |
|---|---|---|
| Service Tier Completeness | % of households with service tier populated | CRM |
| Referral Source Completeness | % of households with referral source populated | CRM |
| Onboarding Field Completeness | % of onboarding records with all required fields | CRM + CSA spreadsheets |
| Plan Input Completeness | % of plans with full data gathering inputs | eMoney |
| Documentation Completeness | % of client files with required documents | Compliance logs |
Data Accuracy KPIs
| KPI | Definition | Source |
|---|---|---|
| AUM Reconciliation Rate | % of households where CRM AUM matches Orion | CRM + Orion |
| NIGO Rate | % of onboarding paperwork submitted with errors | CSA spreadsheets |
| Transfer Rework Rate | % of transfers requiring correction | CSA spreadsheets |
| Plan Documentation Accuracy | % of plans with complete and correct documentation | eMoney |
| Compliance Exception Count | of documentation exceptions per period | Compliance logs |
Consistency KPIs
| KPI | Definition | Source |
|---|---|---|
| Naming Convention Compliance | % of households following naming standards | CRM |
| Referral Source Standardization | % of referral sources using approved values | CRM |
| Workflow Compliance | % of onboarding workflows completed in correct sequence | CRM |
| Data Gathering Template Usage | % of plans using standardized templates | eMoney |
| Cross-System Alignment | % of households with matching fields across CRM, Orion, eMoney | All systems |
Dashboard Layout
Section 1 – Completeness
- Gauges: Service Tier Completeness, Referral Source Completeness
- Bar Chart: Onboarding Field Completion
- Table: Missing Required Fields by System
Section 2 – Accuracy
- Line Chart: AUM Reconciliation Rate
- KPI Tiles: NIGO Rate, Transfer Rework Rate
- Table: Compliance Exceptions by Category
Section 3 – Consistency
- Bar Chart: Naming Convention Compliance
- KPI Tile: Workflow Compliance
- Heatmap: Cross‑System Alignment (CRM ↔ Orion ↔ eMoney)
Data Governance & Stewardship
Data Governance Framework
1. Data Standards
• Required fields for CRM, Orion, eMoney
• Standard formats (dates, currency, percentages)
• Update frequency rules
2. Naming Conventions
• Household naming
• Account naming
• Document naming
• Workflow naming
• Standardized status labels
3. Validation Rules
• Required fields
• Duplicate detection
• AUM reconciliation
• Plan completeness
• Spreadsheet transition rules
Data Stewardship
Data Owners
• Advisors: relationships, tiers, planning status
• Client Service Associates: onboarding completeness, custodial accuracy
• Planners: planning inputs, plan updates
• Operations: CRM standards, integrations
• Compliance: documentation completeness
• Marketing: attribution, referral sources
Data Custodians
• Advisors: Meeting notes, Planning status updates, Referral source entry, Household updates
• Client Service Associates: Onboarding fields, Custodial metadata, Workflow status updates, NIGO logs
• Planners: Planning inputs, Plan updates, Data gathering templates
• Operations: CRM workflow standards, Field definitions naming, Integration accuracy
• Compliance: Documentation completeness, Meeting note compliance, Audit exception criteria
• Marketing: Lead attribution, Referral source standardization
Data Stewardship Model
Data Migration
Data Migration Strategy
System Prioritization
1. CRM (Client & Household Data) – Priority 1
2. Orion (AUM & Account Data) – Priority 2
3. eMoney (Planning Data) – Priority 3
4. Spreadsheets (Operational, Compliance, Marketing) – Priority 4
Migration Phases
1. Data Audit & Mapping
2. Cleansing & Normalization
3. CRM Restructuring
4. System Integration Alignment
5. Spreadsheet Consolidation
6. BI Model & Dashboard Deployment
Migration Risks & Mitigation
Risks
1. Advisor resistance
2. CRM workflow bypass
3. Integration errors
4. Spreadsheet dependency
5. Compliance gaps
Mitigation
1. Training, required fields, validation rules
2. Weekly reconciliation
3. Enforced workflow adoption
4. Compliance oversight
Validation Programs
Automated Validation Checks
Continuous/scheduled checks detect missing fields, mismatches, and anomalies.
System Validations
1. CRM Checks
• Enforce required fields (tier, referral source, advisor, relationships)
• Detect duplicate households
• Flag missing meeting notes after 48 hours
• Flag skipped or incomplete onboarding workflow steps
2. Orion Checks
• AUM reconciliation (flag >0.5% mismatch)
• Custodial feed integrity (missing account numbers/custodians)
• Duplicate account detection
3. eMoney Checks
• Planning input completeness (income, expenses, assets, liabilities)
• Annual review currency (flag >12 months old)
• Template enforcement
4. Spreadsheet Transition Checks (Used only during migration period)
• Missing timestamps
• Non‑standard status labels
• Duplicate household/task rows
Exception Reporting
Routes validation issues to correct stewards.
Exception Categories
1. Completeness Exceptions
• Missing tiers, referral sources, planning inputs, custodial metadata
2. Accuracy Exceptions
• AUM mismatches, NIGO errors, transfer rework, compliance gaps
• Custodial feed integrity (missing account numbers/custodians)
• Duplicate account detection
3. eMoney Checks
• Planning input completeness (income, expenses, assets, liabilities)
• Annual review currency (flag >12 months old)
• Template enforcement
4. Spreadsheet Transition Checks (Used only during migration period)
• Missing timestamps
• Non‑standard status labels
• Duplicate household/task rows
Exception Routing
1. Advisors
• Meeting notes, referral sources, planning status
2. Client Service Associates
• Onboarding fields, custodial metadata, NIGO issues
3. Planners
• Planning inputs, outdated plan values, template issues
4. Operations
• AUM reconciliation, integration mismatches, workflow configuration
5. Compliance
• Documentation gaps, meeting note compliance, audit exceptions
Validation Cycle
1. Daily: CRM required fields, meeting note timeliness, custodial feed integrity, duplicate detection
2. Weekly: AUM reconciliation, workflow compliance, planning completeness
3. Monthly: Cross‑system alignment, compliance audit, dashboard refresh
4. Quarterly: Governance review, stewardship accountability, audit readiness
Data Governance 12-Month Roadmap
12-Month Implementation Timeline
1. Quarter 1 — Foundation & Standards
a. Objectives: Establish governance rules, Define ownership, Stabilize CRM
b. Key Activities
• Finalize data standards + naming conventions
• Implement CRM required fields + validation rules
• Assign data owners/custodians
• Launch Data Quality Scorecard
• Begin cleansing service tiers, referral sources, household relationships
c. Owners: Operations, Advisor Services, Compliance
2. Quarter 2 — Cleansing & Alignment
a. Objectives: Normalize data and eliminate major inconsistencies
b. Key Activities
• Clean CRM households & reconcile CRM ↔ Orion mappings
• Standardize eMoney planning inputs/templates
• Remove duplicates across systems
• Implement automated validation checks
• Begin spreadsheet consolidation
c. Owners: Operations, CSAs, Planners
3. Quarter 3 — Integration & Workflow Redesign
a. Objectives: Strengthen integrations and replace spreadsheet workflows
b. Key Activities
• Align CRM ↔ eMoney fields; fix Orion custodial feed issues
• Rebuild onboarding workflows in CRM
• Replace CSA spreadsheets with CRM workflows
• Implement workflow compliance validation
• Launch cross‑system consistency checks
c. Owners: Operations, CSAs, Planners
4. Quarter 4 — BI Deployment & Governance Maturity
a. Objectives: Deploy dashboards and institutionalize governance
b. Key Activities
• Deploy Data Quality Dashboard + departmental dashboards
• Finalize stewardship model
• Launch quarterly governance cycle + annual audit readiness
• Document governance SOPs & transition governance to BAU
c. Owners: Operations, Leadership (COO), Compliance