Intake Questionnaire

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* 1. Please state your full name.

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* 2. What brings you to seek out a financial professional?

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* 3. Have you worked with a professional before?

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* 4. If yes, how was the experience for you?

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* 5. How would you prefer to interact?

Phone

In Person Whenever Possible

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* 6. Which fee structure would you prefer?

I want to pay an upfront planning fee and implement the strategy on my own.

I want to implement strategy with the professional and pay a percentage advisory charge to have the ongoing oversight, investment management, and reviews.

I want to pay a fee per transaction as I implement my strategy.

I want to pay by the hour.

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* 7. Which level of interaction would you like to have with the planning process?

I want to have a thorough understanding of every individual aspect of my plan and the ins and outs of every investment.

While I’d like to have a basic education and understand the big picture of my plan and investments, I don’t want to be explained every little mechanic behind the result.

I want to entirely outsource my financial planning and trust in my advisor to meet my stated goals.

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* 8. Do you prefer portfolios that consider the environment, social impact, and corporate governance?

Yes

Don’t Know

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* 9. Please select all levels of communication you’d like to receive if we decide to work together:

Articles written by Dan and Cicely

Birthday Card

Holiday Card

Quarterly Review Reminders

Invitations to Relevant Seminars and Client Appreciation Events

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* 10. How would you describe your current level of investment experience and comfort with different types of investments?

Advanced—I have a history in financial services and fully understand diversification, asset allocation, asset location, different types of investments, risk factors/management, and market performance over time.

Great—I may not understand every term above but have been investing for 5+ years and have a thorough understanding what I am invested in, of my portfolio’s performance over time, and have diversified.

Good—I have taken a risk tolerance questionnaire in the past (maybe spoken with an advisor) and at least reallocated my employer sponsored plan in accordance with that risk level. I may have some experience with stocks and understand the definition of a stock.

Basic—I am involved and looking at investments even if I have not reallocated. I tend not to change things up but can tell you what I am invested in and how much.

No Experience—I either don’t know what I have invested or have only ever held cash.