Becoming a Client

Becoming a Client

Most firms have asset or fee minimums to become a client. We don’t believe in any exclusion, but especially one based exclusively off of monetary terms and financial gain. Our relationship is with our client, not their money. As we have a long-term horizon in mind we value the overall client relationship differently. The majority of our new clients come from word of mouth and existing client referrals.

Our process for becoming a client is centered around finding the proper fit. Our firm is not for every potential client – we are very unique in the wealth management world and our clients value this more unorthodox approach. The process generally follows the flow below:

1. Introductory Call

Intro call and meeting will occur with the principal of the firm. No specific documentation is necessary as this is more of a general conversation of who you/we are, what you are looking for, answering specific questions regarding our services, and reviewing general expectations of our clients. At the conclusion of this call we will be able to make a recommendation regarding next steps (referral to another wealth management firm, working together, more specific referral, etc.)

2. Follow-up

Follow-up regarding specific account opening documentation and financial documents specific to your situation:

  • Previous tax returns
  • Current investment account statements
  • Private Investment information
  • Personal information for account documentation (customer profile form)
  • Entity or Corporate documentation
  • Trust documentation
  • Life Insurance documentation
  • Retirement specific accounts (pension, 401k, Social Security)
  • Any other pertinent information previously identified.

3. Establish a plan

Once we have accounts opened/transferred we will establish an investment plan customized specifically to you.

4. Implementation

Implementation of investment plan and specific financial planning needs/goals that originated from previous conversations.

Client Expectations

  • To be honest and transparent with everything financial. We do not work in a vacuum and are not interested in being one advisor set against others and measured by strict performance percentages.  We need a thorough look under the hood.
  • To be one of the first calls regarding anything financial.
  • To be respectful of our time. We see our clients as family and work 24/7 on their behalf.  Clients have access to personal phone numbers, emails, etc and we trust that this is respected.
  • To contact us whenever there is a concern or question. We want clients to feel empowered to contact us directly when something comes up and not to wait for a previously scheduled quarterly meeting/etc.