INITIAL CONTACT: Typically 10-15 minutes

  • Briefly discuss what the prospect is trying to accomplish.
  • Make sure the prospective client understands who we are and see if they are qualified to be a client.
  • Establish a time and place to meet to have a more in depth discussion of who we are and how we would work together.

FIRST MEETING: Typically 60-90 minutes

  • Establish an agenda, what does the prospective client wish to discuss and how much time do they have.
  • Discuss the client’s history of investing and their expectations of working with an investment advisor.
  • Review the client’s current financial circumstances and discuss their goals.
  • Describe the RSS investment process and financial planning services.

DECIDE IF WE SHOULD MEET AGAIN:

  • At the end of the first meeting, we will decide to either (1) meet again or set a date, (2) set a date for a follow up phone call or (3) decide it is not a good fit.
  • Discuss which financial statements and relevant information we will need on or before the next meeting.
  • Make sure all relevant parties will participate in the next meeting.

SECOND MEETING: Game Plan – Typically 60 minutes

  • Answer questions and address concerns.
  • Review the existing portfolio that is to be managed by RSS.
  • Discuss financial goals and any budget requirements.
  • Decide if we should sign paperwork and begin the process.
  • Sign contracts and establish an investment policy.
  • Complete necessary paperwork for the client’s broker dealer.

GETTING STARTED: Typically 10 business days

  • Establish limited power of attorney on client accounts
  • Open new accounts (if necessary)
  • Consolidate assets and transfer accounts to one broker dealer
  • Contact client’s tax advisor and confirm cost basis
  • Review existing client assets and prioritize initial purchase and sales

LET’S WORK TOGETHER

Our clients rely on our team to safeguard and grow their assets with a steady guiding hand.

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