1 2013 Planning Process

2013 Client Opportunity Template2013 Client Opportunity Template

A.

Current Situation:

Yearend Assets Revenue

2010__________________________

2011____________________________

2012____________________________

Client since: _____________ How became a client: ______________

B. Plan in place: Yes Partial No Plan Date Updated as of

Financial PlanInvestmentsRetirementEstate/InsuranceTax planCash Flow Plan

______________________________________________________

____________________________________________________________

C. Contact Preference (1=low, 5 = high)

1 2

Neutral 4 5

Desired frequency of contact

Face to Face Telephone reviewEmail updateLunch PresentationPM Presentation______________

Face to Face:

Telephone:

_________:

Times per yr____

____

____

Last Date

_____

_____

_____

D.

Relationship with heirs

Have Account Overall relationship / comment(1=weak, 5=strong, 0 = none

Name

Spouse ________ Child One ________ Child Two ________ Child Three ________

Yes Part Yes Part Yes Part Yes Part

# Comment__ ______________________ ______________________ ______________________ ____________________

E.

Assessment of Satisfaction (1=weak, 5=strong) F. Financial Priorities/Issues

Performance Communication Relationship Overall

____________________________________________________

1. _______________________

2. _______________________

3. _______________________

Client: _______________________ Date completed: ________________

2 2013 Planning Process

G.

% of assets held: ________% Not Sure

Type of assets held elsewhere

_________________________

_________________________

_________________________

Where held Est $000

________________ ________________

________________ ________________

________________ ________________

Recent assets added: Amount: $____________ Date: ________________

Approached about other assets in past Date: ________________

Response: ________________________________________________________

H. Professional Advisors Met Relationship (1 -5)

Accountant: _______________

Lawyer: __________________

Other advisors:_________________________

_________________________

__ _______________

__ _______________

__ _______________

__ ______________

I. Referrals provided

Name:

_____________________

_____________________

_____________________

Date:

_________

_________

_________

Assets:

_____________

_____________

_____________

Outcome:

________________

________________

________________

J. Close associates

Met Family

___________________

___________________

___________________

___________________

___________________

Met Friends

___________________

___________________

______________________________________

___________________

Met Colleagues

__________________

__________________

__________________

__________________

__________________

3

K. Knowledge of Client Depth(1-5) Gaps to fill

Financial situation

Work situation

Hobbies and interests

Personal situation

Overall knowledge

_______

_______

_______

_______

_______

___________________________

___________________________

___________________________

___________________________

___________________________

L. Past events or activities with this client

Event / Activity

_____________________

_____________________

_____________________

_____________________

_____________________

Date:

_________

_________

_________

_________

_________

Feedback / Response:

_______________________________

_______________________________

_______________________________

_______________________________

_______________________________

M. Hot buttons / Other key information and background

____________________________________________________________________

____________________________________________________________________

____________________________________________________________________

____________________________________________________________________

____________________________________________________________________

N. Opportunity Checklist

401K

IRA roll over

Tbills / cash

529 account

Roth IRA

Assets elsewhere

Done

To Do

Will

Power of Attorney

Life Insurance

Long term Care Ins.

Critical Care Ins.

________________

Done

To Do

4 2013 Planning Process

Twelve month plan starting Jan 1 2013

O. Key issues / problems / challenges in dealing with this client (if any)

1. _____________________________________________________________

2. _____________________________________________________________

3. _____________________________________________________________

P. Key opportunities to add value to this client / ways to drive their agenda

1. _____________________________________________________________

2. _____________________________________________________________

3. _____________________________________________________________

Q. Key business opportunities with this client / ways to drive our agenda

1. _____________________________________________________________

2. _____________________________________________________________

3. _____________________________________________________________

R. Key priorities for next 12 months with this client

Primary; ___________________________________________________

Secondary 1: ___________________________________________________

Secondary 2: ______________________________________________________

Planned activities for next 12 months with this client

Timing: ___________ To do: ____________________________________________

Timing: ___________ To do: ____________________________________________

Timing: ___________ To do: ____________________________________________