January 28, 2026
Case management is one of those areas that rarely breaks in one obvious way.
In most firms we work with, it slowly becomes harder to explain what is happening across active cases. Work is being done, but progress is spread across inboxes, systems, and conversations. Advisers often know a case is moving forward, but cannot always say exactly where it is without checking.
At Plus Group, we support advisers with the operational side of case management. That includes admin coordination, provider chasing, LOA handling, paraplanning handovers, and creating enough visibility that advisers are not relying on memory. The aim is not to add more structure, but to remove the friction that makes case management feel heavier than it should.
Simplifying case management is less about new tools and more about clarity. When ownership, flow, and visibility are clear, cases feel calmer for advisers and more predictable for clients.
Case management usually becomes complex by accident.
Most advice firms grow by adding work rather than redesigning workflows. New providers are added, reporting requirements evolve, and support roles change organically. The original way of tracking cases stops fitting the reality of the firm.
What we see is not a lack of effort. It is a lack of alignment. Tasks are happening, but not always in a clear sequence, which is why many firms recognise the same patterns described in the admin tasks that slow financial advisers down.
Case management rarely breaks because of one big issue.
It breaks down through small moments that repeat. An LOA is sent but not logged clearly. A provider update arrives but does not change the visible case status. A paraplanner is waiting for information that everyone assumes has already been requested.
A common situation we see is an adviser preparing for a client call and realising they need to check several places to confirm progress. By the time they respond, the update feels reactive rather than planned, which is exactly how admin backlogs start to damage client relationships without anyone intending it.
In many firms, advisers become the case manager by default.
They chase providers to keep things moving, prompt admin for updates, and respond to client queries because it feels quicker than checking first. It works in the moment, but it makes the adviser the bottleneck.
Over time, this creates the same pressure advisers describe when talking about where they lose time during the week, not through big tasks but through constant coordination and interruption.
The clearest difference we see between messy and calm case management is ownership.
Ownership does not mean one person does everything. It means every stage of the case has a clear owner and a clear handover. Someone owns LOA sending and chasing. Someone owns provider follow-ups. Someone owns the paraplanning handover once inputs are complete.
Where ownership is unclear, tasks drift and advisers step in to fill gaps. Once ownership is defined, a lot of complexity disappears quickly.
Firms often try to simplify case management by moving faster.
In practice, visibility has a bigger impact. Advisers feel calmer when they can see progress clearly, even if timelines are unchanged. Clients feel more confident when updates are consistent.
This is one of the reasons firms start looking at simplifying case management more deliberately once volume increases, because clarity removes the need for constant checking.
Provider chasing is one of the biggest sources of invisible friction.
It often lives in inboxes and memory rather than in a visible workflow. A chase happens once, then goes quiet. Everyone assumes progress is being made until a client asks for an update.
We regularly see cases stall because an LOA was never acknowledged or was sent to the wrong place. This is why advisers are often surprised by how much time disappears into LOA chasing without any obvious progress.
LOAs sit early in the advice process.
When they are delayed or inconsistently handled, everything downstream slows. Advisers then spend time explaining delays that feel administrative rather than advisory.
A good LOA process is simple and repeatable. This is what advisers usually mean when they talk about what a good LOA process actually looks like, rather than one that relies on memory or manual chasing.
Paraplanning is another area where cases quietly stall.
The issue is rarely technical. It is usually about incomplete inputs or unclear briefs. A paraplanner waits for information, the adviser assumes work is underway, and the delay only surfaces when a meeting approaches.
We see smoother case flow when firms tighten the admin-to-paraplanning handover, something that comes up repeatedly in paraplanning insights for financial services admin.
Most firms operate a hybrid setup.
Advice and client relationships remain in-house. Admin coordination, provider chasing, LOA handling, or paraplanning production may be supported externally. What matters is that all of this sits within the same workflow.
Where this works well, outsourced support is used safely within an advice firm setup, with clear ownership and visibility.
In firms with simpler case management, the pattern is consistent.
Cases move through defined stages. Ownership is clear at each point. Progress is visible without chasing. Client updates happen at expected moments rather than only when clients ask.
It is not about perfect systems. It is about removing uncertainty so advisers can focus on conversations rather than coordination.
Simplifying case management is about reducing uncertainty, not removing effort.
When ownership is clear, visibility is shared, and routine tasks are handled consistently, advisers spend less time checking and more time advising. Clients feel looked after without needing to chase. Over time, that calm reliability becomes part of how the firm is experienced.
Why does case management get harder as firms grow?
Because workflows evolve informally while volume and complexity increase.
Is case management mainly an admin responsibility?
No. It spans admin, paraplanning, providers, and advisers. Clarity comes from shared ownership.
Can outsourcing simplify case management?
Yes, when outsourced support is integrated into the same workflow rather than treated separately.
Do firms need new systems to simplify case management?
Usually not. Structure and visibility matter more than tools.
How quickly do advisers notice a difference?
Often within weeks, as chasing reduces and communication becomes clearer.
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