Broker Check

CLIENT ONBOARDING PROCESS

5 STEPS, LOW STRESS

You may be seeking out a financial advisor to help you navigate the increasingly complex finances of your business’s 401(k) or your personal retirement plan. We can assure you – you don’t have to go it alone.

We follow a very clear process for establishing our relationship, and we make every effort to dispel worries, confusion, and stresses associated with your financial world. For clients who are just joining us, here’s what you can expect from our onboarding process and ongoing relationship. 

STEP 1

STEP 1

GETTING TO KNOW YOU

We begin by getting to know each other and determining if we are a good fit to work together. We’ll ask you all about you, your family, your business, and the goals you hope to achieve. Mutual trust often produces the best results for our clients – we will be transparent and forthcoming about our practice, our fees, next steps, what we’ll need from you, and what you can expect from us.

STEP 2

STEP 2

INFORMATION GATHERING

After we’ve initiated our working relationship, we will begin gathering information, such as necessary statements and other professionals that you have a relationship with (such as estate lawyers, accountants, and CPAs). Depending on your goals, we may ask that you complete a retirement planning form. 

STEP 3

STEP 3

INITIAL PLAN

We organize your accounts and initiate transfers, as well as evaluate your distribution or contribution needs. This could include rollovers, transferring accounts (e.g., IRAs or brokerage accounts), or managing your cash or annuities. Together, we’ll decide what needs the most attention and what your time horizon looks like, and we make a recommendation for how to proceed to help you best achieve your short- and long-term goals for your company’s plan or your personal retirement. 

STEP 4

STEP 4

OPENING ACCOUNT(S)

Once you’re happy with your initial plan, we will coordinate opening of account(s), adding beneficiaries, completing process transfer paperwork, gaining online access, and completing distribution paperwork with ACH.

STEP 5

STEP 5

CONTINUING WEALTH MANAGEMENT

Our relationship is ongoing – we provide the services you need on a continuing basis. As new developments arise in your life or your business, we make adjustments to your plan to help you overcome unexpected financial challenges. If you ask a question, we’ll provide you our best, independent advice. If we need to pull in your other professionals, we meet with them. Anything that makes your experience smoother and more successful – we’re here for you.

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LET'S GET STARTED

Contact the APC team to get started with your personalized planning process. 

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