OUR PROCESS
meet & greet
Discuss Client & Advisor Expectations
(1 hour)
Initial complementary consultation - to
determine if the
business relationship
is a good fit for all
parties
GOALS & EXPECTATIONS
Advisor Disclosure – Client Engagement document
(1 hour)
Includes info on: How we work, our investment philosophy,
privacy agreement, working relationship agreement,
compensation details, investment risk profile
(*Advisor will ask prospect to complete and return a basic info gathering document for review before step 3)
GETTING TO KNOW YOU
Fact Finding
(2 hours)
Complete the client Dashboard – includes collecting info
on: general personal info, health info, estate info, goals,
income/budget, assets, real estate, debts, insurance,
retirement, net worth, business
GAME PLAN
Client Needs Assessment
(5-10 hours - Advisor only)
Completed by the advisor
ADVICE & RECOMMENDATIONS
(1-2 hours)
Presented to the client
OUR RELATIONSHIP MOVING FORWARD
On-going regular client/advisor meetings
(Annually or semi-annually)
To review investment portfolios and overall general
finances to ensure things stay on track and make
adjustments along the way as required
Mutual funds provided through FundEX Investments Inc.
