Engagement Planning 

    When performing PFP services, you want to present your work in the most understandable format and exhibit the highest level of professionalism. This section provides resources to help you achieve both goals.

     

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    Sample Engagement Letters

    Overview Engagement letters are used to establish a formal relationship with a client. This section provides you with sample engagement letters to be used for various types of financial planning engagements.
    Published on January 15, 2013

    Illustrative Engagement Letter

    Sample Letter A sample PFP engagement letter you can use with your clients. Although you should consult legal counsel before drafting any client agreements, this sample will get you started.
    Published on April 03, 2012

    Illustrative Engagement Letter - Short Version

    Sample Letter A short-form version sample PFP engagement letter you can use with your clients. Although you should consult legal counsel before drafting any client agreements, this sample will get you started.
    Published on April 03, 2012

    Illustrative Engagement Letter Long Form

    Sample Letter A detailed PFP engagement letter you can use with your clients. Although you should consult legal counsel before drafting any client agreements, this sample will get you started.
    Published on April 03, 2012

    Illustrative Engagement Letter for Corporate Executives

    Sample Letter A sample PFP engagement letter you can use with corporate executives. Although you should consult legal counsel before drafting any client agreements, this sample will get you started.
    Published on April 03, 2012

    Illustrations of Engagement Letter Explanations of Historical and Prospective Financial Information

    Article Because personal financial plans can include a variety of historical or prospective financial information, the illustrative engagement letters do not describe such information. Read more about illustrative engagement letter descriptions of certain historical and prospective financial information.
    Published on August 22, 2011

    Family Data Interview

    Template Download the Family Data Interview worksheet to identify your client's family goals. The worksheet provides sample questions that your client should answer.
    Published on March 24, 2011

    Client Advisers Summary

    Template The Client Advisers Summary is a simple chart you can use to track the contact information for your client?s various advisers. Download the Client Advisers Summary to help you track the contact information for your client's various advisers.
    Published on March 24, 2011

    Implementation Plan Worksheet

    Template Use this simple chart to establish steps with your client to implement the financial plan. The worksheet organizes recommendations with their priority, time frame, and responsible party.
    Published on March 24, 2011

    Investment Preference Worksheet

    Template In developing an investment plan, it is important to understand your client's tolerance for risk and goals for the plan. This worksheet can be used with your client to help understand what is important to them in their investment plan.
    Published on March 24, 2011

    Assumptions and Objectives

    Template Download the questionnaire designed to aid you in defining your financial and investment objectives. Clients can rate financial and investment objectives so you know how best to serve them.
    Published on March 24, 2011

    PFP Client Service Questionnaire

    Template Following up with your clients after you deliver the financial plan is important for improving the quality of your services. Download the PFP Client Service Questionnaire for a good way for you to get started.
    Published on March 24, 2011

    Document Request Form

    Checklist In planning for a PFP engagement, you should request certain documents from your client to form the basis for your recommendations. This checklist helps you quickly identify for your client the documents you will need to complete the plan.
    Published on March 24, 2011

    Checklist for Evaluating Prospective PFP Clients

    Checklist Finding new clients is critical to growing a PFP practice. However, finding the right clients is even more important to your success. This tool will help you to evaluate your existing clients for PFP services.
    Published on March 24, 2011

    Checklist Tax Return Review for Personal Financial Planning Needs

    Checklist A tax client decides it's time to approach you for assistance with their finances or you believe they could benefit from your services. Use this checklist to identify planning opportunities based on your client's latest tax return.
    Published on March 24, 2011

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