Question 1

First Meeting / Intake Session

Accepted Answer

• Once you have scheduled a first appointment, you’ll receive an email with directions to our office and a guide for forms to either bring in or send back prior to the meeting electronically.
 • During the intake session, information is gathered, goals are defined, and fees and expenses are covered in full detail so that you a have a clear understanding of expectations going forward.

Question 2

Second Meeting

Accepted Answer

• A full analysis of your initial intake session is provided outlining any financial or planning gaps and illustrating future projections of your current investments and financial goals.
 • Solutions are recommended based on your objectives and tolerance for risk as established during the first meeting.
 • We extend to you an offer to enter into an investment advisory relationship with a clearly identified fee and expense schedule via our ADV.
 • If you choose to move forward, the onboarding process can begin within 24 hours.

Question 3

Onboarding

Accepted Answer

• All necessary firm and custodial documents will be completed and signed to formally establish the client-advisor relationship.
 • Accounts will be opened or transferred as appropriate.
 • We will follow up with you by phone or e-mail during the onboarding process to confirm that account openings, account numbers, and online access to both the custodian and client portal are all established and in good order.

Question 4

Quarterly Meetings

Accepted Answer

• Quarterly meetings are conducted via email, in person, or online at client’s discretion. 
 • These are generally short in nature to provide a summary of account performance and a general review of your plan.
 • Performance reports along with a balance sheet and a net worth statement are generated for clients.

Question 5

Annual Meetings

Accepted Answer

• Conduct an in-depth review of your financial plan to ensure that objectives are being met.
 • Review material facts, beneficiaries, investment strategy, and any other items of relevance.
 • Provide performance reports, financial planning reports, and a tax analysis if applicable.

ARKĀGOS PLANNING

AN EMPHASIS ON PLANNING

Internal processes for new clients: