Process-based & operations-based resources
Comments: 40
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16 Aug, '18
Tom Duffy MergedHow should advisors rate a prospective client?
Mirror fogginess? Assets? Net Worth? Propensity to refer new clients? -
29 Aug, '18
Ross Hunt MergedI find it helpful to walk clients through the decision tree regarding whether they need to hire and delegate to a professional advisor. You may also want to address credentials with this flowchart as well (or you may not).
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30 Aug, '18
Mike Admin Merged"How do I choose an adviser?" (suggested by Rick Coen on 2018-08-15), including upvotes (1) and comments (0), was merged into this suggestion.
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04 Dec, '18
John MergedA checklist or flowchart for counseling people.
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02 Apr, '19
Andrew MergedA open document to be filled in by clients in order to assist in financial recordkeeping for access to all accounts, policies, insurance information, banks credit cards etc. Should they pass away this can be handled by spouse or children.
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10 Apr, '19
JUSTIN WALLER MergedA way to navigate all the great workflows on here would be great.
Are your clients young, pre-retired, retired? Are they employed, self employed, etc? You should consider these workflows...
A list of the universal ones and here is a way to navigate all the other ones would also be great. -
06 Sep, '19
J.C. Corrigan MergedNew Roadmap has checklists in the back - can an abridged version be created.
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27 Nov, '19
David M Pulcini MergedThe steps and actions needed to take to make sure that a new client is onboarded correctly with your firm
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30 Jul, '20
Kyle R MergedThis is great suggestion to make sure all of the tasks and items needed for a new client are completed.
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02 Sep, '20
Mike MergedA basic checklist / flowchart covering what questions to ask and what information to provide and in what order from phone call, 1st appt, 2 appt, presentation, and sales
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15 Sep, '20
Martin Hurlburt MergedThe basic idea is this... most prospects are not dumb. A series of questions should make it clear to them whether they should work with an advisor or do it themselves. That would save both parties time and frustration.
For example. Do you enjoy making investment decisions? Do you take the time to research? Do you prefer to focus time & energy on other things? Are you worried about making a mistake? Etc. -
07 Oct, '20
bruce ROBERTS MergedAdd a flowchart or checklist to cover talking points that satisfies the Reg BI requirement for rollover compliance.
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19 Jan, '21
William Miller MergedWhat questions to ask clients
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09 Mar, '21
Greg T. Clifton CFP, ChFC, MBA MergedA flowchart or checklist that would determine if you provided advice during a telephone conversation with a client and if so, the ability to indicate how you provided the required notice(s).
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21 Apr, '21
Christi Powell MergedHeartily agree with this suggestion
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07 May, '21
Mike Admin"Do I need to hire a Financial Advisor or Certified Financial Planner?" (suggested by Ross Hunt on 2018-08-29), including upvotes (21) and comments (1), was merged into this suggestion.
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07 May, '21
Mike Admin"Prospect acceptance decision tree" (suggested by Tom Duffy on 2018-08-16), including upvotes (15) and comments (0), was merged into this suggestion.
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07 May, '21
Mike Admin"Personal Financial Records Document" (suggested by Andrew on 2019-04-02), including upvotes (6) and comments (0), was merged into this suggestion.
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07 May, '21
Mike Admin"Onboarding A New Client Checklist" (suggested by David M Pulcini on 2019-11-27), including upvotes (6) and comments (1), was merged into this suggestion.
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07 May, '21
Mike Admin"Workflow of workflows" (suggested by JUSTIN WALLER on 2019-04-10), including upvotes (3) and comments (0), was merged into this suggestion.
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07 May, '21
Mike Admin"Client Questionnaire" (suggested by William Miller on 2021-01-19), including upvotes (3) and comments (0), was merged into this suggestion.
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07 May, '21
Mike Admin"Roadmap to the Code of Ethics and Standards of Conduct - Checklist - Appendix 4 and 5 from CFP Board" (suggested by J.C. Corrigan on 2019-09-06), including upvotes (2) and comments (0), was merged into this suggestion.
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07 May, '21
Mike Admin"Counseling" (suggested by John on 2018-12-04), including upvotes (2) and comments (0), was merged into this suggestion.
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07 May, '21
Mike Admin"REG BI Rollover Compliance" (suggested by bruce ROBERTS on 2020-10-07), including upvotes (1) and comments (1), was merged into this suggestion.
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07 May, '21
Mike Admin"Flow chart or checklist to determine if you must provide Form CRS to client." (suggested by Greg T. Clifton CFP, ChFC, MBA on 2021-03-09), including upvotes (1) and comments (0), was merged into this suggestion.
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07 May, '21
Mike Admin"Should I work with a financial advisor or do it myself?" (suggested by Martin Hurlburt on 2020-09-15), including upvotes (1) and comments (0), was merged into this suggestion.
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07 May, '21
Mike Admin"Appointment Checklist" (suggested by Mike on 2020-09-02), including upvotes (1) and comments (0), was merged into this suggestion.
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22 Jul, '21
MVOnboarding process for Investment Management. (I realize we use different custodians but a general workflow would still be helpful.)
Is it Risk Tolerance, Find out Inv Objectives, Inv Policy Statement, Gather Client Data, Transfer Account, Rebalance? -
16 Jun, '22
ChrisGranger Admin Merged"What documents should I expect to share with my financial professionals" (suggested by J.C. Corrigan on 2021-06-07), including upvotes (3) and comments (0), was merged into this suggestion. Original language from this merged suggestion: "Imagine a table with these headings: Document/Interested Professional(s)/Value Added - this would be W2, Form 5498, Soc Sec Statement, EOY paystub, 401k statement, EOY Brokerage (Unrealized gains), Trusts, the list goes on."
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16 Jun, '22
ChrisGranger Admin Merged"Client Closeout" (suggested by Pam Horack on 2021-11-02), including upvotes (1) and comments (0), was merged into this suggestion. Original language from this merged suggestion: "Checklist of steps needed to close out a client engagement, including any legal / compliance actions needed."
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16 Jun, '22
ChrisGranger Admin Merged"Client Quarterly/Annual Review Meetings" (suggested by Michael Feeley on 2021-06-17), including upvotes (2) and comments (0), was merged into this suggestion. Original language from this merged suggestion: "I do quarterly review meetings with each of my clients and an Annual Review. I would be helpful to have a check list of things to cover in each quarterly review and one for the Annual Review. This would be great to keep in the CRM so we can keep better track of and review what we discussed on the last quarterly call and to make sure we are not just discussing the same things each time. It would also be helpful to give new Advisors a road map to follow."
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16 Jun, '22
ChrisGranger Admin"Client Document Checklist" (suggested by Joel Johnson on 2022-03-14), including upvotes (7) and comments (3), was merged into this suggestion. Original language from this merged suggestion: "I would love to see a fpPathfinder version of a master document checklist for clients. Something broken down by planning section and the important documents that may be needed for each. For example, tax planning would be the previous year's tax returns, SS statements. Estate planning would be wills, any trusts that are already in place, etc."
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16 Jun, '22
ChrisGranger Admin"Considerations When Hiring a New Financial Advisor" (suggested by Stephanie Sammons on 2021-06-21), including upvotes (1) and comments (0), was merged into this suggestion.
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16 Jun, '22
ChrisGranger Admin"net worth interactive checklist for annual planning updates" (suggested by scott benjamin on 2021-06-16), including upvotes (3) and comments (0), was merged into this suggestion. Original language from this merged suggestion: "net worth interactive checklist for annual planning updates."
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16 Jun, '22
ChrisGranger Admin"Advisor Value Checklist From Kitces & Carl Episode 54" (suggested by scott benjamin on 2021-03-12), including upvotes (5) and comments (0), was merged into this suggestion. Original language from this merged suggestion: "Checklist to track value by keeping score of value added by advisor. Or, a checklist of tasks and services provided by the advisor. From Kitces & Carl Episode 54."
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16 Jun, '22
ChrisGranger Admin"My Financial Point of view" (suggested by Walter on 2021-11-12), including upvotes (1) and comments (0), was merged into this suggestion. Original language from this merged suggestion: "Asks questions about prospective client's point of view about financial planning, taxes, legacy planning, retirement income, risk & return. this is a 7-8 pager form."
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16 Jun, '22
ChrisGranger Admin"One-page financial planning summary of recommendations" (suggested by Mark Silverman on 2021-07-14), including upvotes (2) and comments (0), was merged into this suggestion.
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16 Jun, '22
ChrisGranger Admin"Financial Action Plan Checklist" (suggested by Jeff Boyd on 2022-02-04), including upvotes (1) and comments (0), was merged into this suggestion. Original language from this merged suggestion: "This form is intended to help us help clients accomplish the financial and life items that are most important to them for moving forward with their financial plans. They can complete this as often as they want in the future, so it is a "snapshot in time" of what is top of their agenda."
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16 Jun, '22
ChrisGranger Admin"RIA Firm Office Relocation Checklist" (suggested by Lauren Swann on 2022-04-27), including upvotes (1) and comments (0), was merged into this suggestion.
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20 Jul, '22
ChrisGranger AdminThis suggestion will be moved to a new category titled "Non-Standard Guides Under Consideration". This suggestion is still under consideration but is atypical in comparison to our other guides. Thank you.