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Our Prospective Client Process

  1. ESTABLISH A RELATIONSHIP WITH A FINANCIAL ADVISOR

    Your financial advisor will explain his or her financial planning services and define each of your responsibilities within the relationship. You’ll discuss the scope of the relationship, how decisions will be made and compensation.

  2. GATHER YOUR DATA AND DEVELOP YOUR FINANCIAL GOALS

    At your Discovery meeting you and your financial advisor will talk about your current financial situation and review necessary documents. Together, you’ll define your personal and financial goals, including timeframes. You will also want to discuss your comfort level when it comes to taking financial risks.

  3. ANALYZE AND EVALUATE YOUR FINANCIAL STATUS

    Your financial advisor will consider all aspects of your situation to determine what you need to do to meet your goals. Depending on what services you’ve asked for, your planner may analyze your assets, liabilities, cash flow, current insurance coverage, investments or tax strategies.

  4. REVIEW YOUR FINANCIAL ADVISOR’S RECOMMENDATIONS

    Your financial advisor will go over his or her financial recommendations, explaining the rationale so you can make informed decisions. At this stage, your planner will also listen to any concerns you may have and revise his or her recommendations if necessary.

  5. SET YOUR COURSE

    You and your financial advisor will need to agree on how the recommendations will be carried out.  Your planner may carry out the recommendations or serve as your coach, coordinating the process with you and other professionals, like attorneys or accountants.

  6. BENCHMARK YOUR PROGRESS

    As you work toward your goals, you and your financial advisor will need to decide who will monitor your progress to make sure you’re staying on track. If the planner is in charge, he or she will check in from time to time, reviewing your situation and making any necessary adjustments to his or her recommendations.


All investing involves risk, including the possible loss of principal.  There is no assurance that any investment strategy will be successful.

Complete a prospective client questionnaire

 

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