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What to Ask

  • How long have you been working as an advisor?

  • Do you have any areas of focus or specialties?

  • Have you worked with other investors in similar situations to mine?

  • Will you work with other professionals assisting me, such as my accountant and lawyer?

  • How often and by what means will you communicate with me?

  • How will I be able to monitor my plan and track investment performance?

  • What happens if changes in my life warrant updates to my plan?

  • How are you compensated for your services?

What to Bring

  • Statements from pensions or other employer-benefit income

  • Any outstanding debt balances that you feel is appropriate to share (mortgages, auto, credit card, business, equity line, etc.)

  • Social Security information

  • Two most recent federal income tax returns

  • Statements from investment/Brokerage accounts

  • Statements from retirement accounts and employee-sponsored benefit programs (401(k), 403(b), 457, etc.)

  • Statements from annuities

  • Estate planning documents (will, power of attorney, trust, etc.)

  • Lift and disability insurance policies

  • Long-term care insurance policies

  • Contact information for your CPA and attorneys or other financial professionals (tax and estate) if applicable

First Meeting Checklist

The initial meeting is a great opportunity for your advisor to get to know you. It’s also a great opportunity for you to get to know your advisor. Here are some helpful questions and guidelines to help make sure you both make the most of it.

Senior Businesswoman
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