New Client / Hiring Form

1

Planning or AUM?* This field is required.

Planning Only

Investment (AUM or Planning & AUM)

2

Tax Return on File?

Yes

No

3

Existing Planning Client?* This field is required.Have they previously signed a Planning Agreement?

4

Refund Planning Fee?

5

Reason for Refund

Client Requested

AUM to Offset Fee

Other

6

Primary Client* This field is required.

First Name

Last Name

7

Primary Client Email* This field is required.Please use the email attached to the primary client's Salesforce Person Account

example@example.com

8

Account ID* This field is required.Salesforce Account ID

9

Average Income* This field is required.

10

Employer* This field is required.

11

Occupation

12

Original Advisor* This field is required.

13

OG Advisor AutoFill

14

OG Advisor USER ID

15

Servicing Advisor* This field is required.

16

Servicing Advisor Autofill

17

Servicing Advisor USER ID

18

Who set the First Meeting?* This field is required.Type BD Associate Name

19

Who is the Para Planner?* This field is required.

20

Probability of Close

21

2nd Meeting Date & Time

Date

22

Current Date

Date

Hour

Minutes

23

Planning Fee Status:* This field is required.

Paid

Still need to pay

Take from AUM

Waived

24

Refunding Full or Partial Planning Fee Amount? * This field is required.

25

Amount for Partial Refund* This field is required.

26

Planning Fee Type* This field is required.

Retainer (Ongoing)

One-Time (Fixed) - Most Common

27

Planning Fee Amount* This field is required.

28

Rationale for Negotiated Planning Fee* This field is required.

29

Are they Apex /Betterment (ROBO)?* This field is required.

Yes

No

30

Anticipating AUM Management from Retirement Transfers?* This field is required.

Yes

No

31

Discussed Cost Comparison with Client?* This field is required.

Yes

No

32

Discussed All Options Listed Below?* This field is required.

Comission/Fee-Based

Roll Retirement Savings from Employer Plan into IRA

Leave Savings in Employer-Sponsored Retirement Plan

Withdraw Money Only

33

Types of Managing Transfers* This field is required.

IRA Accounts Only

Qualified Accounts Only

IRA & Qualified Accounts

34

Household Service Offering

35

Overall Rationale & Recommendation

36

AUM Fee Schedule* This field is required.

37

Tiered or Flat? (Negotiated Rate)* This field is required.

38

AUM Fee Schedule (Negotiated)* This field is required.Selected "other"

39

Rationale for Negotiated Rate* This field is required.

40

Any Concessions to Billing Fee?

41

Any Concessions to Billing Fee?

Waiving Quater One

None

Other

42

$5,000 AUM Minimum Fee Waived or Applied?* This field is required.The $5,000 takes affect when billable AUM generates less than a $5,000 annual fee

Waive

Apply

43

Rationale for Minimum Fee Waived* This field is required.

44

Estimated Portfolio Allocation* This field is required.

46

Time Frame

47

Goal

48

Estimated AUM Range* This field is required.

49

Tax-Deferred* This field is required.

50

Tax Free* This field is required.

51

Taxable* This field is required.

52

Total Expected AUM

53

Pontera/Brokeragelink Accounts?* This field is required.

54

Pontera Billing Method* This field is required.

55

Pontera Billing Account* This field is required.

56

Pontera Fee Schedule:* This field is required.

Same as accounts

Other

57

Referral from ZOE?* This field is required.Did ZOE send us this lead?

Yes

No

58

Tax Opportunity?* This field is required.Are you planning on making a referral to Falcon Tax Services?

Yes

No

59

Tax Filing Type* This field is required.

60

Tax Subsidy from Planning Fee?* This field is required.

61

Subsidy Amount* This field is required.

62

FWP Payment Frequency* This field is required.For Falcon Tax

63

Is an Estate Plan included with the fee?* This field is required.

Yes

No

64

How much of the Planning Fee is for the Estate Plan?

65

Who are estate planning services for?* This field is required.

66

Queue ID

67

NotesNotes for subsidy language to be included on an agreement (Tax Prep, Estate, etc...)