New Client / Hiring Form

1

Planning or AUM?* This field is required.

Planning Only

Investment (AUM or Planning & AUM)

2

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

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

Account ID* This field is required.Salesforce Account ID

6

Average Income* This field is required.

7

Employer* This field is required.

8

Occupation

9

Original Advisor* This field is required.

10

OG Advisor AutoFill

11

OG Advisor USER ID

12

Servicing Advisor* This field is required.

13

Servicing Advisor Autofill

14

Servicing Advisor USER ID

15

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

16

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

17

Probability of Close

18

2nd Meeting Date & Time

Date

19

Current Date

Date

Hour

Minutes

20

Planning Fee Status:* This field is required.

Paid

Still need to pay

Take from AUM

Waived

21

Refund Planning Fee?

22

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

23

Reason for Refund

Client Requested

AUM to Offset Fee

Other

24

Amount for Partial Refund* This field is required.

25

Any Concessions to Billing Fee?

26

Fee Concession

Waiving Q1

Other

27

Planning Fee Type* This field is required.

Retainer (Ongoing)

One-Time (Fixed) - Most Common

28

Planning Fee Amount* This field is required.

29

Rationale for Negotiated Planning Fee* This field is required.

30

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

Yes

No

31

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

Yes

No

32

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

Yes

No

33

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

34

Types of Managing Transfers* This field is required.

IRA Accounts Only

Qualified Accounts Only

IRA & Qualified Accounts

35

Household Service Offering

36

Overall Rationale & Recommendation

37

AUM Fee Schedule* This field is required.

38

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

39

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

40

Rationale for Negotiated Rate* This field is required.

41

$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

42

Rationale for Minimum Fee Waived* This field is required.

43

Estimated Portfolio Allocation* This field is required.

45

Time Frame

46

Goal

47

Estimated AUM Range* This field is required.

48

Tax-Deferred* This field is required.

49

Tax Free* This field is required.

50

Taxable* This field is required.

51

Total Expected AUM

52

Pontera/Brokeragelink Accounts?* This field is required.

53

Pontera Billing Method* This field is required.

54

Pontera Billing Account* This field is required.

55

Pontera Fee Schedule:* This field is required.

Same as accounts

Other

56

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

Yes

No

57

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

Yes

No

58

Tax Filing Type* This field is required.

59

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

60

Subsidy Amount* This field is required.

61

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

62

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

Yes

No

63

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

64

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

65

Queue ID

66

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