Getting to Know You

Recommend-
ing A Plan

Ongoing Monitoring and Review

Putting the Plan into Action

Getting to Know You

  • Determine your financial goals and objectives
  • Inventory assets, liabilities and planning resources, including all compensation and benefits
  • Evaluate existing investments and portfolio holdings
  • Discuss tax and estate status and goals

Ongoing Monitoring
and Review

  • Update your financial goals and ensure your plan stays on track
  • Evaluate portfolio performance vs. relative benchmarks
  • Rebalance portfolio and make tax-efficient investment changes
  • Adjust asset allocations for changes in your risk profile, the economy and tax environment

Recommending a Plan

  • Use financial planning tools and knowledge base to create an actionable roadmap
  • Suggest appropriate asset allocation strategy consistent with your risk profile
  • Set investment policy statements for your portfolio
  • Assemble team of outside advisors, including CPA, estate attorney and insurance advisor

Putting the Plan into Action

  • Collaborate with your outside advisors to implement planning strategies
  • Invest to meet your planning objectives with the least amount of risk
  • Implement appropriate taxable vs. tax-deferred investment structure
  • Designate active or index solutions for each asset class