Ongoing Review Checklist
Ongoing Review Checklist
This checklist provides a variety of questions to help you effectively direct your discussion with your client(s) at the investment review.
Client name: Address:
Client name: Address:
If more than one client, relationship between clients:
Client(s)'s phone number(s): Name: Name:
Day: Day:
Evening: Evening:
Client(s)'s employment information: Name:Business name:Occupation: Name:Business name:Occupation:
Client(s)'s email address(es): Name:Email: Name:Email:
Client(s)'s children: Name:Date of birth: Name:Date of birth: Name:Date of birth: Name:Date of birth: Name:Date of birth: Name:Date of birth:
Top three priorities in client meeting: 1. 2. 3.
Since the last review has your client:
Personal
YES NO
Moved? Had any new children? Become a grandparent? Changed marital status? Taken on or removed any dependents? Had a change in health or the health of any family member? Changed attorney or accountant? Created or changed a will or trust? Explored a special needs trust for a child or grandchild?
Details
Professional
YES NO
Changed employment? Purchased or sold a business? Changed or added an associate or partner? Considered becoming an associate or partner? Changed or considered changing the structure of his/her business? Considered taking advantage of tax write offs such as qualified pension, profit sharing, or 401(k) plans? Formed a corporation of any kind? Entered into a buy-sell agreement? Recently purchased stock in a closely held company? Had a gain or loss in the value of his/her business Investigated the benefits to their business of:
a. Key-employee insurance? b. A funded buy-sell agreement? c. Group life or medical? d. Long-term care insurance?
Details
Investments planning
YES NO
Changed investment goals and strategies?
Needed to revisit asset allocation? Had a change in income, saving, and spending needs? Inherited assets or become beneficiary of income? Made gifts in excess of the annual exclusion to any one individual? Had a change in income by more than 10%? Been satisfied with the amount he/she is saving? Considered increasing systematic savings? Considered IRA catch-up options? Considered early IRA distributions? Taken advantage of annual exclusion gifting? Considered creating or changing estate plan?
Details
Taxes
YES NO
Needed to review sales of any appreciated property?
Collected cost-basis information on any sold securities?
Found a need to review realized and unrealized gains and losses?
Checked loss carryforwards from previous year?
Identified potential tax-advantaged transactions?
Had a tax advisor prepare a year-end tax projection, including AMT?
Found the need to review potential deductions and credits before year end?
Details
Insurance
YES NO
Changed any life or health insurance policy?
Made any loans or assignments of life insurance?
Changed the beneficiaries on any insurance policies?
Considered any of the following? Insurance on self or others? Costs of insurance? Insurance on children or grandchildren? 529 Plans for children or grandchildren? Mortgage insurance? Gifts to charity? Disability-income insurance? Long-term care insurance for client
or parents? Other?___________________________________________________________________ Become uncomfortable with the
amount of insurance owned? Considered converting any term
insurance to permanent?
Details
Miscellaneous
Annual income last calendar year: $ ____________________________________________________________________________________
Anticipated income this calendar year: $ ____________________________________________________________________________________
Additional areas of interest:
___________ Retirement planning
___________ Education planning
___________ Estate planning
___________ Social Security benefits
___________ Disability insurance
___________ Business continuation
___________ Protection against dying too soon or living too long
Next steps/Follow-up
___________ Executive benefits ___________ Long-term care ___________ Wealth accumulation
................
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