New Client / Hiring Form

1

Planning or AUM?* This field is required.

Planning Only

Investment (AUM or Planning & AUM)

2

Primary Client* This field is required.

First Name

Last Name

3

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

example@example.com

4

Account ID* This field is required.Salesforce Account ID

5

Average Income* This field is required.

6

Employer* This field is required.

7

Occupation

8

Original Advisor* This field is required.

9

Servicing Advisor* This field is required.

10

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

11

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

12

Probability of Close

13

2nd Meeting Date & Time

Date

14

Current Date

Date

Hour

Minutes

15

Planning Fee Status:* This field is required.

Paid

Still need to pay

Take from AUM

Waived

16

Planning Fee Type* This field is required.

Retainer (Ongoing)

One-Time (Fixed) - Most Common

17

Planning Fee Amount* This field is required.

18

Rationale for Negotiated Planning Fee* This field is required.

19

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

Yes

No

20

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

Yes

No

21

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

Yes

No

22

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

23

Types of Managing Transfers* This field is required.

IRA Accounts Only

Qualified Accounts Only

IRA & Qualified Accounts

24

Household Service Offering

25

Overall Rationale & Recommendation

26

AUM Fee Schedule* This field is required.

27

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

28

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

29

Rationale for Negotiated Rate* This field is required.

30

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

Waive

Apply

31

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

32

Portfolio Allocation* This field is required.

33

Portfolio Model* This field is required.

Falcon Core Model

Falcon Active Model

Falcon Core Plus (w/Alts)

Falcon Vanguard Model

Falcon ESG Model

34

Time Frame* This field is required.

35

Goal* This field is required.

36

Estimated AUM Range* This field is required.

37

Tax-Deferred* This field is required.

38

Tax Free* This field is required.

39

Taxable* This field is required.

40

Total Expected AUM

41

Pontera/Brokeragelink Accounts?* This field is required.

42

Pontera Billing Method* This field is required.

43

Pontera Billing Account* This field is required.

44

Pontera Fee Schedule:* This field is required.

Same as accounts

Other

45

Zoe Referral?* This field is required.

Yes

No

46

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

Yes

No

47

Tax Filing Type* This field is required.

48

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

49

Subsidy Amount* This field is required.

50

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

51

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

Yes

No

52

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

53

Queue ID

54

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

55

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