Fictional example for Northgate Advisory (fictional). The data is invented to show the format. It is not a client result.
Executive summary
120 complaints were received in the year; 63% were upheld at least in part and the average case took 15.5 working days against a 15-day target. Volumes peaked in Jun, after the fee-schedule change. The records point to causes the firm can fix, set out below with an owner for each action.
The year at a glance
120 complaints in twelve months. 63% were upheld at least in part.
Complaints120Oct 2025 to Sep 2026
Upheld, wholly or partly63%
Average days to close15.5Target 15 working days
Closed within target51%
Volumes peaked after the fee change
Complaints peaked in Jun. The last quarter (33) is still above the first (23).
What the complaints were about
The three biggest categories (Delays, Communication, Fees and invoicing) make up 71% of complaints.
Delays33
Communication27
Fees and invoicing25
Quality of advice14
Systems and documents12
Staff conduct9
Why they happened (root causes)
No owner for follow-up and handover between teams together explain 45% of complaints.
No owner for follow-up3256% upheld · 17.1 days
Handover between teams2171% upheld · 20.5 days
Training gap2167% upheld · 16 days
Unclear fee explanation1776% upheld · 11.2 days
Outdated letter template1457% upheld · 11.6 days
Expectation not managed1040% upheld · 14.2 days
Outcomes and timeliness
49% of complaints ran past the 15-day target.
Outcomes
Upheld: 52 (43%)
Partly upheld: 24 (20%)
Not upheld: 44 (37%)
Late by category
Delays30
Communication12
Quality of advice10
Staff conduct7
What management should do next
6 actions, each with an owner and a date.
Action
Owner
By
Name one case owner on every complaint, who keeps it to the end
Complaints lead
16 Nov 2026
Rewrite the fee explanation sent at engagement
Head of client services
30 Nov 2026
Add “next action” and date fields to the tracker
Operations manager
9 Nov 2026
Brief handlers on investigation and reply standards (two short sessions)
Team managers
4 Dec 2026
Report cases older than 10 working days at the weekly meeting
Complaints lead
23 Nov 2026
Refresh the four complaint letter templates
Compliance officer
18 Dec 2026
Findings in brief
No owner for follow-up is the biggest single cause. 32 of 120 complaints (27%), and 56% of them were upheld at least in part. Next: Name one case owner on every complaint, with a next-action date.
Fee complaints clustered after the fee-schedule change. 15 of the 25 fee complaints arrived in June to August. The busiest month overall was Jun. Next: Review how the new schedule is explained to existing clients.
Handovers add days. Complaints caused by team handovers took 20.5 working days on average against a 15-day target (all complaints: 15.5). Next: Keep one case owner from first contact to closure.
A training gap sits behind many upheld complaints. 21 complaints (18%) trace to it, and 67% were upheld at least in part. Next: Brief handlers on investigation and reply standards.
Timeliness is mixed. 51% closed within the 15-day target; 49% did not. Next: Report ageing cases to the weekly management meeting.