Client Information
Investment Advisory: Investment advisors primarily offer advice on investment strategies and may manage investment portfolios on behalf of clients. They often charge fees based on the assets under management (AUM).
Financial Planning: Financial planners provide comprehensive financial advice, often through consultations and personalized financial plans. They may charge fees for their services based on a one-time fee, hourly rate, or a percentage of AUM.
Client Profile
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Client Profile 2
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Financial Goals & Objectives
Family & Children/Dependents
Please list children & other dependents
Dependent
Dependent One
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Dependent Two
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Dependant Three
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Dependant Four
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Dependant Five
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Parents
Parent One
Parent Two
Parent Three
Parent Four
Investment Experience
Income and Net Worth
Annual income refers to the total amount of money earned within a one-year period, including all sources of income, such as wages or salaries, business profits, rental income, investment income, and any other forms of earnings received during the course of a year.
Net Worth = Total Assets - Total Liabilities:
Total Assets include everything of value, such as cash, investments, real estate, vehicles, personal belongings, and any other assets.
Total Liabilities encompass all financial obligations and debts, including mortgages, loans, credit card balances, and any other money owed to creditors.
Retirement Accounts
IRA, RIRA, 401k, 403b, 529, Deferred Comp--Other Tax Advantaged Accounts
Account One
401(k), IRA, 403(b), etc.
John, Jane, Joint
Account Two
401(k), IRA, 403(b), etc.
John, Jane, Joint
Account Three
401(k), IRA, 403(b), etc.
John, Jane, Joint
Account Four
401(k), IRA, 403(b), etc.
John, Jane, Joint
Account Five
401(k), IRA, 403(b), etc.
John, Jane, Joint
Account Six
401(k), IRA, 403(b), etc.
John, Jane, Joint
Non-Retirement Accounts
Brokerage Account, Individual, CDs, Trust, Checking--Other After Tax Accounts
Account One
401(k), IRA, 403(b), etc.
John, Jane, Joint
Account Two
401(k), IRA, 403(b), etc.
John, Jane, Joint
Account Three
401(k), IRA, 403(b), etc.
John, Jane, Joint
Account Four
401(k), IRA, 403(b), etc.
John, Jane, Joint
Account Five
401(k), IRA, 403(b), etc.
John, Jane, Joint
Account Six
401(k), IRA, 403(b), etc.
John, Jane, Joint
Retirement Income
Social Security, Pensions, Rental Property Income, Annuities etc
Retirement Income One
Checking, Brokerage, Trust
John, Jane, Joint
Retirement Income Two
Checking, Brokerage, Trust
John, Jane, Joint
Retirement Income Three
Checking, Brokerage, Trust
John, Jane, Joint
Retirement Income Four
Checking, Brokerage, Trust
John, Jane, Joint
Real Estate
Primary Residence, Vacation/Secondary Property, Rental Property
Primary Residence
YR
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Vacation/Secondary Property
YR
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Rental Property
YR
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Insurance Risk Management
Life, disability, long term care, homeowners, umbrella insurance
Insurance One
Insurance Two
Insurance Three
Insurance Four
Taxes & Estate Planning
Will, Living Trust, Durable/Financial Power of Attorney, Advance Healthcare Directive, Living Will, Other documents
Estate Planning Document One
Will, Living Trust, Durable/Financial Power of Attorney, Advance Healthcare Directive, Living Will, Other documents
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Estate Planning Document Two
Will, Living Trust, Durable/Financial Power of Attorney, Advance Healthcare Directive, Living Will, Other documents
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Estate Planning Document Three
Will, Living Trust, Durable/Financial Power of Attorney, Advance Healthcare Directive, Living Will, Other documents
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Estate Planning Document Four
Will, Living Trust, Durable/Financial Power of Attorney, Advance Healthcare Directive, Living Will, Other documents
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Estate Planning Document Five
Will, Living Trust, Durable/Financial Power of Attorney, Advance Healthcare Directive, Living Will, Other documents
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Estate Planning Document Six
Will, Living Trust, Durable/Financial Power of Attorney, Advance Healthcare Directive, Living Will, Other documents
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Notes & Other