New Client / Hiring Form

1

Planning or AUM?* This field is required.

Planning Only

Investment (AUM or Planning & AUM)

2

Planning or AUM?(LEGACY)

Planning Only

AUM & Planning

3

Primary Client* This field is required.

First Name

Last Name

4

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

example@example.com

5

Average Income* This field is required.

6

Client Household (LEGACY)

7

Original Advisor

8

Writing Advisor (LEGACY)

9

Servicing Advisor* This field is required.

10

Servicing Advisor (LEGACY)* This field is required.

11

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

12

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

13

Probability of Close* This field is required.

14

Employer* This field is required.

15

Occupation

16

2nd Meeting Date & Time* This field is required.

Date

17

Current Date* This field is required.

Date

Hour

Minutes

18

Planning Fee Status:* This field is required.

Paid

Still need to pay

Take from AUM

Waived

19

Planning Fee Type

Retainer (Ongoing)

One-Time (Fixed) - Most Common

20

Planning Fee* This field is required.

21

Planning Fee Amount (LEGACY)

22

Rationale for Negotiated Planning Fee* This field is required.

23

Are they Zoe / Betterment (Robo)?* This field is required.

YESNO

24

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

Yes

No

25

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

26

Types of Managing Transfers* This field is required.

IRA Accounts Only

Qualified Accounts Only

IRA & Qualified Accounts

27

Household Service Offering* This field is required.

28

Overall Rationale & Recommendation* This field is required.

29

AUM Fee Schedule* This field is required.

30

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

31

Rationale for Negotiated Rate* This field is required.

32

Minimum Fee Waived or Applied?* This field is required.$5k for Standard or $30k Institutional

Waive

Apply

33

Rationale for Minimum Fee Waived* This field is required.$5k for Standard or $30k Institutional

34

Anticipating AUM Management from Retirement Transfers?* This field is required.Client Attestation to DOL Discussion

YESNO

35

Portfolio Allocation* This field is required.

36

Portfolio Allocation

i.e. 60/40, 70/30, etc...

37

Portfolio* This field is required.

Falcon Core Model

Falcon Active Model

Falcon Vanguard Model

39

Time Frame* This field is required.

40

Goal* This field is required.

41

Tax-Deferred* This field is required.

42

Tax-Free* This field is required.

43

Taxable* This field is required.

44

Total Expected AUM

45

Tax Opportunity?* This field is required.

Yes

No

46

Pontera/Brokeragelink Opportunity* This field is required.

Yes

No

47

Pontera Fee Schedule:* This field is required.

Same as accounts

Other

48

Zoe Referral?* This field is required.

Yes

No

49

Notes

50

You have checked "Take from AUM" for the Planning Fee.

Upon submission of this form, you will be redirected to fill out the PRF.

PRF Submission is due within 24 hours.