Our Process 1. DiscoveryWe will ask a lot of questions in order to understand you, including questions about your:Family Dynamics (marital status, dependents, household members)Tax StatusInvestment ExperienceEmployment StageNeeds (basic services, dependent care, medical expenses)Wants (going on vacation, buying a boat, eating out)Goals (saving for a child’s education, planning for retirement, leaving a legacy)Present Finances (income, investments, savings, retirement funds, insurance coverage)Values/Priorities/Risk-Tolerance2. AssessmentAnalyze your total situationDetect gaps, redundancies, or weaknesses in your current positions3. Plan DevelopmentIdentify appropriate strategies, objectives, and tacticsReview recommendations and alternativesDevelop custom and comprehensive investment plan4. Plan ImplementationAdjust existing positions, if necessaryAddress any areas that need clarification or updatesArrange meetings with specialty advisors, if necessaryComplete required paperwork5. EvaluationMonitor your investmentsSchedule regularly reviewsProvide clear & concise reportsRebalance and adjust, if necessary Not only is this information helpful, it is required by the USA Patriot Act of 2001, SEC Rule 17a- 3(17), FINRA Rule 2111.05 (Suitability), and FINRA Rule 2090 (Know Your Customer) when opening and servicing an account.We do not disclose to or share with others any non-public, personal information (“Confidential Information”) or Personal Identifying Information (“PII”), except as authorized or when otherwise legally obligated to. Additionally, any Confidential Information or PII that we receive will be protected under our Privacy and Cybersecurity Policies and treated with confidentiality and discretion. Have a Question? Name Email Phone Question Thank you! Oops!