Made for Financial Advisors
Document a Volatility Conversation
Also useful for: people in Finance
25 min
Intermediate
Communication
Have a Money Conversation
Difficult Conversation
Capture a volatile-market client discussion in a consistent record that separates client statements, reviewed facts, advice, decisions, and open follow-up.
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Use this when
A client has raised urgent concerns about market losses, requested a major portfolio change, declined advice, or made a decision that needs careful documentation.
You'll need
- Conversation details
- Client concerns and requests
- Facts and plan information reviewed
- Alternatives and tradeoffs
- Advice and client decisions
- Follow-up commitments
- Record status
- Firm documentation requirements
You'll get
- The client's main concerns and requested actions recorded
- Reviewed facts distinguished from opinions and predictions
- Alternatives, tradeoffs, and advice documented separately
- Final decisions and authorization status stated clearly
- Declined or deferred actions preserved
- Every follow-up assigned an owner and date, or flagged as missing
By the end of this playbook
You will have:
- The client's main concerns and requested actions recorded
- Reviewed facts distinguished from opinions and predictions
- Alternatives, tradeoffs, and advice documented separately
- Final decisions and authorization status stated clearly
- Declined or deferred actions preserved
- Every follow-up assigned an owner and date, or flagged as missing
Sample
This is sample data, not your prompt. Pro unlocks this higher-stakes Playbook. On Free Playbooks you can still copy the assembled prompt into any AI.
Sample input
Conversation details: Phone call on October 8 at 10:30 a.m. regarding recent market losses. Client and advisor attended. Client concern: "I can't watch this keep dropping." Client asked about moving everything to cash today and mentioned a home purchase in 18 months. Facts reviewed: Taxable account allocation, home reserve, emergency fund, and long-term retirement horizon. Account summary dated October 7 was used. Alternatives: No change, increase the home reserve, gradually reduce equity exposure, or move the full account to cash. Advice and decision: Advised against full liquidation because it would extend beyond the near-term need and materially change the long-term allocation. Client agreed to wait for a reserve comparison. No trade was authorized. Follow-up: Advisor will send the comparison by noon on October 9. Client will confirm the expected home purchase amount.
Sample assembled prompt
Conversation details A phone conversation took... The client contacted the advisor regarding... The discussion covered the joint taxable... Client concerns and requested actions The... The client identified a planned home... Facts and plan information reviewed The... No future market outcome was presented... Alternatives discussed The alternatives reviewed were... Discussed tradeoffs included short-term volatility, liquidity... Specific tax estimates need confirmation. Advice and rationale provided The advisor... Decisions and authorized actions The client... No trade was authorized during the... Actions declined or deferred Full liquidation... A final decision on adjusting the... Follow-up commitments The advisor will send... The client will confirm the expected... Any later trade request will require... Documentation gaps requiring review Specific tax... The expected home purchase amount still...