Documents For Your Initial Consultation

In our thorough interview, we suggest that you bring any of the following applicable documents:

  • Copy(ies) of most recent pay statement(s).
  • Spending Plan
  • Estimated Net Worth Statement
  • Copies of federal income tax returns for the last three years.
  • Copy(ies) of most recent Social Security Benefits Statement or current statement which can be printed at https://www.ssa.gov/myaccount/
  • Outlines or other information regarding corporate benefits, such as hospitalization, disability insurance, etc.
  • Life insurance policies or summary of policies owned.
  • Mortgage, student loan and credit card statements with current balances, rates and monthly payments
  • Copies of divorce settlements, separation agreements, etc.
  • Most recent report of vested interest in pension(s)
  • Most recent statement(s) and plan options for 401(k), 403(b) and/or profit-sharing plans.
  • Copies of latest available personal statements from banks, brokerage houses, mutual funds, including IRAs, etc.
  • Listing of assets with an estimate as to fair market values, as well as a listing of liabilities (may be presented informally or use Net Worth Statement supplied).
  • Copies of other insurance policies (automobile, homeowners, umbrella, etc.)
  • Annual reports, tax returns, and other agreements regarding ownership in closely held corporations, partnerships, joint ventures, or other businesses.
  • Copies of any trust agreements in effect.
  • Copies of existing will(s)
  • Federal estate tax returns, if you or your partner has been the beneficiary of any estates.
  • Federal gift tax returns.
  • Other items you think may be relevant.

Downloadable Forms (PDF):

Spending Plan
Quarterly Report
Sample Agreement
Net Worth Statement
ADV Form