Total Client Profile Interview Guide - Discovery Meeting Questions

Values:

• What's important about money to you?
• What in particular is important to you about value?
• Is there anything more important than value?

Goals:

• What are your top accomplishments? What would you like them to be?
• What are your personal goals?
• What do you do (or want to do) for your children?
• What do you do (or want to do) for your parents?
• What do you do (or want to do) for other family members or close friends?
• What do you want to do for the world at large?
• Ideally, where would you like to be when you are 45? 55? 65? 75?
• What are your quality-of-life desires (house, travel, boats, cars)?
• What would you like to achieve with your money?
• In dollar figures, how much money do you need or what?
• When you think about your money, what concerns needs or feelings come to mind?
• If you didn't have to work anymore, what would you do?

Relationships:

• What family member relationships (spouse, children, siblings, parents, etc.) are the most important to you?
• How important are your relationships with the people you work with?
• How important are your relationships with people in the community?
• What is your religious orientation? How important are your relationships with people associated with your religion..?
• Would you describe yourself as an introvert or extrovert?
• What pets do you have? How important are they to you?
• What schools did you go to? How important is your relationship with these schools?

Assets:

• What is your source on income (privately held business, employer, profession)?
• How do you earn money today? How is that likely to change in the next three years?
• How do you save or set aside money to invest? How is that likely to change in the next three years?
• What are your investment holdings? Explain your strategy for handling your investments in the way you do.
• What benefits do you get from your work-place?
• What life insurance do you have?
• What property do you have (real property, art, jewelry)?
• How are your assets structured now?
• What new assets do you expect to receive (inheritance, stock options)?
• What is your opinion on taxes? What kinds of taxes bother you the most?
• When you think about your finances, what are your three biggest worries?
• What were your best and worst financial moves? What happened?

Advisors:

• Do you have a lawyer? How do you feel about that relationship?
• Do you have a life insurance agent? How do you feel about that relationship?
• Do you have an accountant? How do you feel about that relationship?
• Do you have an investment advisor? How do you feel about that relationship?
• Do you have a financial planner? How do you feel about that relationship?
• What were your best and worst experiences with a professional advisor?
• How frequently have you switched professional advisors?
• Have you ever worked with a financial advisor before? Tell me about that experience.

Process:

• How involved do you like to be in the managing of your finances?
• How many face-to-face meetings would you want over the course of a year?
• How often would you like phone updates on your situation?
• Do you want a call about your personal situation when a sudden market change occurs?
• Do you prefer our written communications to you to be by letter or email?
• What security measures do you want to see used to protect your personal and financial information?
• How often do you want an overall review of your financial situation and progress toward your goals?
• Who else do you want to be involved in the management of your finances (spouse, other advisors such as accountants, attorneys)?
• How important to you is the confidentiality of your financial affairs?

Interests:

• Do you follow sports? What are your favorite teams?
• What are your favorite types of TV programs and movies?
• What do you read?
• Do you have health concerns or interests? What is your health program?
• Are working out and fitness important to you? What is your program?
• What are your hobbies?
• What would an ideal weekend be?
• What would an ideal vacation be?
• What charitable causes do you donate to? Volunteer for?