Step 1:

Engagement and Discovery

  • Introductory conversation via phone or in-person.
  • Defining the expectations of the client-advisor relationship.
  • Introduction to our team, our process and our philosophy.
  • Review net worth statement and current investment holdings to get a snapshot view of your current situation.
  • Define long-term and short-term goals.

Step 2:

Strategize

  • Analyzing and evaluating current financial status.
  • Presenting a customized investment analysis.
  • Define the scope of the relationship going forward, based upon findings during investment review.
  • Outline initial guidance specific to your personal situation regarding investments, financial planning, insurance, etc.

Step 3:

Implementation

  • Taking action on recommendations, based on strategy session outcome.
  • Begin asset transition phase, if necessary.
  • Establishing new accounts opening documents.
  • Work with third party transfer agents, ensuring accounts successfully transition in a timely manner.
  • Our Business Processing Coordinator will be hands on during this transition.
  • We provide you with weekly status updates via email while assets and accounts are being transitioned.

Step 4:

Tech Connect

  • Introduction to your personal Wealth Management Website.
  • Introduction to your online interfaces and account access points via LPL's Account View.
  • Update account options and select statement preferences.

Step 5:

Optimization

  • Consistent monitoring of all accounts and recommendations, staying focused and on path to achieve your goals.
  • Strategy review meetings (3, 6 or 12 months).
  • Weekly Market Watch Newsletter.
  • Routine account maintenance.