Agreement Modification / Cancelation - New and Existing Clients

1

Original Advisor Name* This field is required.

2

OG Advisor AutoFill

3

OG Advisor USER ID

4

Servicing Advisor Name* This field is required.

5

Servicing Advisor Autofill

6

Servicing Advisor USER ID

7

Original Advisor Name* This field is required.

First Name

Last Name

8

Servicing Advisor Name* This field is required.

First Name

Last Name

9

Client's Salesforce Account ID* This field is required.Client's Salesforce Account ID

10

Client Name

First Name

Last Name

11

Client Email

example@example.com

12

New or Existing Client?* This field is required.Existing Client will have a previously signed agreement.

New

Existing

13

Modify or Canceling Agreement* This field is required.

Modifying New Agreement

Move from Planning to AUM

Cancel

14

Modifying Billing Rate or Moving to AUM?* This field is required.

Modifying Billing Rate / Retainer Fee

Move from Planning to AUM

15

What agreement are you modifying?* This field is required.

Planning Agreement

AUM Agreement

16

What are you modifying?* This field is required.

AUM Agreement - Management Fee

Planning Agreement - Retainer

17

Is there a planning fee?* This field is required.

Yes

No

18

Does the planning fee need to be adjusted?* This field is required.

Yes

No

19

Removing or Refunding the Planning Fee?* This field is required.

20

Refund Planning Fee?* This field is required.

21

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

22

Reason for Refund?* This field is required.

23

Amount for Partial Refund* This field is required.

24

Former Planning Fee* This field is required.

25

New Planning Fee* This field is required.

26

Rationale for Negotiated Fee* This field is required.

27

Is Estate Planning included with the Planning Fee?* This field is required.

28

How much of the Planning Fee is for the Estate Plan?* This field is required.

29

Who are Estate Planning services for?* This field is required.

30

Former AUM Fee Schedule* This field is required.

31

New AUM Fee Schedule* This field is required.

32

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

33

Negotiated Fee Schedule* This field is required.

34

Rationale for Negotiated Fee Schedule* This field is required.

35

Any Concessions to Billing Fee?* This field is required.

Yes

No

36

What is the Fee Concession?* This field is required.

Waive Q1

Other

37

When does the new fee take effect?* This field is required.

ASAP

Next Quarter

Other

38

Are Directors aware of mid-quarter fee change?* This field is required.

Yes

No

39

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

Apply

Waive

40

Rationale for Minimum Fee Waived* This field is required.

41

Estimated Portfolio Allocation* This field is required.

42

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

43

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

44

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

45

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

46

Types of Managing Transfers* This field is required.

IRA Accounts Only

Qualified Accounts Only

IRA & Qualified Accounts

47

Estimated AUM Range* This field is required.

48

Estimated Tax-Deferred* This field is required.

49

Estimated Tax Free* This field is required.

50

Estimated Taxable* This field is required.

51

Pontera / Brokeraglink Accounts?* This field is required.

52

Pontera Billing Method?* This field is required.

53

Pontera Billing Account?* This field is required.

54

Pontera Fee Schedule* This field is required.

Same As Accounts

Other

55

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

56

Tax Opportunity?* This field is required.

57

Tax Filing Type* This field is required.

58

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

59

Subsidy Amount* This field is required.

60

Payment Frequency for Falcon Tax* This field is required.

61

What are you canceling?* This field is required.

Planning Agreement

AUM Agreement

62

Reason for Canceling* This field is required.

63

If "other," please specify.* This field is required.

64

Queue ID

65

Reason for Modification* This field is required.

66

Additional Notes