Your First Meeting
The first meeting is an opportunity for us to exchange information, answer questions about our firm’s process, and to learn whether we jointly agree to continue further. To facilitate our conversation and to make our time together more productive, please take a few moments to provide the following information. Please e-mail this form to before our first meeting.
The first meeting lasts 60-90 minutes and is billed at a discounted rate. Typically the bill for the meeting is $60. If you elect to continue with a standard planning engagement within 60 days, this amount will apply towards that engagement amount.
Please describe your primary financial concerns (e.g., Why are you looking for a financial advisor?).
1) ______
2) ______
3) ______
What are you looking for in an advisor? What would a good relationship look like? ______
What important is happening in your life now or in the near future?
______
Are you working or have you worked with a professional financial adviser before? With whom, when, and for what purpose?
Generally, how much are you able to save each year either into retirement plans at work, IRA, college funding programs or other investments? ______
What would you like your investments to achieve.______
How involved do you like to be in the investing process. ______
When you think about money, what concerns, needs or feelings come to mind? ______
How would you describe your investment experience level and number of years? ______
How would you describe you investment choices (conservative, aggressive, etc)? ______
How did you learn about our firm? From Whom? ______
Application Information
Name
Home Address
Home Phone #
Occupation
Title/Position
Business Name &
Address
Business Phone #
E-mail addresses
Date of Birth
Citizenship
Married? Anniversary date.
Dependents? Ages?
Children: Ages & Names?
Grandchildren? Ages?
Currently Owned (Please check all that apply)
Money Market /
Certificate of Deposit
/ Mutual fundsChecking/Savings /
Stocks
/ SEP/SIMPLEIRA
/ 401(k)/403(b) / Rental PropertyFarm/Ranch /
Business
/ Real EstateAnnuities /
Cash Value Life Insurance
/ / OtherWho are your advisors, when did you last see them last, and for what purpose?
Attorney ______
Accountant. ______
Insurance agent.______
Other: ______
Client Name ______Date ______
Place and “X” near the statement that is more representative of you. One “X” per row.
Item1 / I tend to finish tasks quickly and move on to other tasks. / I tend to work deliberately and according to schedule.
2 / I tend to think through the possible upside of options. / I tend to think through the possible downside of options.
3 / I do not become overly stress when presented with new ways of doing things. / I become stressed when presented with new ways of doing things.
4 / I tend to underestimate the time required to finish a task. / I tend to estimate well how much time is needed to complete a task.
5 / I am open to new methods. / I prefer the tried and true methods.
6 / I like to receive public feedback from others. / I prefer to avoid the limelight.
7 / I gain confidence the closer I get to completion. / I worry more whether I completed the task properly the closer I get to completion.
8 / I am confident that I am on track to build a sufficient retirement nest egg. / I am not confident that I am on track to build a sufficient retirement nest egg.
9 / I know what rate of return I need to earn to sustain my lifestyle in retirement. / I do not know what rate of return I need to earn to sustain my lifestyle in retirement.
10 / I know whether to pay down debt. / I do not know whether to pay down debt.
11 / I know the important risks to my retirement. / I do not know the important risks to my retirement.
12 / I feel my job future and income are secure. / I do not feel comfortable about my job and income security.
13 / I need to increase my wealth. / I need to preserve my wealth.
14 / Current investment growth is more important than investment income. / Current investment income is more important than investment growth.
Client Name ______Date ______
Place and “X” near the statement that is more representative of you. One “X” per row.
Item1 / I tend to finish tasks quickly and move on to other tasks. / I tend to work deliberately and according to schedule.
2 / I tend to think through the possible upside of options. / I tend to think through the possible downside of options.
3 / I do not become overly stress when presented with new ways of doing things. / I become stressed when presented with new ways of doing things.
4 / I tend to underestimate the time required to finish a task. / I tend to estimate well how much time is needed to complete a task.
5 / I am open to new methods. / I prefer the tried and true methods.
6 / I like to receive public feedback from others. / I prefer to avoid the limelight.
7 / I gain confidence the closer I get to completion. / I worry more whether I completed the task properly the closer I get to completion.
8 / I am confident that I am on track to build a sufficient retirement nest egg. / I am not confident that I am on track to build a sufficient retirement nest egg.
9 / I know what rate of return I need to earn to sustain my lifestyle in retirement. / I do not know what rate of return I need to earn to sustain my lifestyle in retirement.
10 / I know whether to pay down debt. / I do not know whether to pay down debt.
11 / I know the important risks to my retirement. / I do not know the important risks to my retirement.
12 / I feel my job future and income are secure. / I do not feel comfortable about my job and income security.
13 / I need to increase my wealth. / I need to preserve my wealth.
14 / Current investment growth is more important than investment income. / Current investment income is more important than investment growth.