Broker Check

Comprehensive Planning

Checkpoint 1


  • Establish a basis for working together
  • Listen and ask questions to understand what is important and what should be accomplished

Checkpoint 2

Chart Your Course

  • Identify coordination gaps and planning opportunities
  • Provide client planning agenda outlining engagement
  • Establish fee and formalize relationship

Checkpoint 3

Reduce the Complexities

Plan Design
  • Determine short and long-term financial planning objectives
  • Identify current and possible future financial and estate plan risks
  • Create personal balance sheet and income statement
  • Establish customized investment risk profile and areas to improve current investment allocation
  • Determine probability of success for planning objectives

Checkpoint 4

Orchestrate the Elements

Plan Presentation
  • Present comprehensive written financial plan
  • Provide a schedule of implementation for recommendations

Checkpoint 5

Set Sail


  • Go out to the marketplace as an advocate on your behalf, to identify the most appropriate solution(s) to implement a financial plan that satisfies your objectives
  • Coordinate implementation of risk management, investment and tax strategies, estate and/or business documents, and other insurances where applicable

Checkpoint 6

Monitor the Terrain

Navigate Life

  • Annual review to determine what adjustments are necessary to maintain your planning objectives 
  • Client calendar of events outlining contact during the year (contact varies based on level of implementation)
  • Ongoing review of all investment accounts and insurance policies 
  • Proactive contact with accountant, attorney and any other member of your financial team