An Integrated Investment Planning Process


PHASE 1- The consultative wealth management process typically begins by unfolding over a series of meetings: Discovery Meeting, Investment Planning Meeting and Mutual Commitment Meeting.

Discovery Meeting. Wealth advisor explores the family’s (or couple’s or individual’s) current personal circumstances, needs, goals and special situations and probes client values, interests and important relationships.

Investment Planning Meeting. Using information collected at the Discovery Meeting, wealth advisor presents a thoughtful diagnostic analysis of the family’s present situation and an investing plan for achieving wealth preservation and specific goals.

Mutual Commitment Meeting. Wealth advisor and client formally agree to work together. Questions and issues regarding plan implementation are addressed, and final planning adjustments are made.

PHASE 2- Organizational Meeting. Wealth advisor helps the client organize new custodial accounts and transfer paperwork, addresses unresolved transfer issues, makes miscellaneous corrections, and answers various administrative questions. Client and custodian platform reporting is customized.

Regular Process Meetings. Typically held 2-4 times per year. Wealth advisor reports to client on progress toward achieving financial goals and reviews any significant changes in personal circumstances that might call for adjustments to investment planning or about advanced planning. Click here for more on Regular Process