Your appointment process should be like a recipe. Think about that for a moment. A recipe has two main components: the ingredients and the steps. Follow the recipe and you’ll get your desired outcome, more often than not.
Below are the 13 main ingredients of the recipe we use at USA Financial through our Appointment Protocol process:
The Introduction Kit
First impressions are long lasting. The introduction kit sets the stage for the relationship and provides a great opportunity for you to create professional contrast right out of the gates. Typically, the introduction kit will be a professionally designed pocket-style folder that includes inserts revealing your process, information about the firm, and a short bio on the individual(s) with whom the prospect may interact initially. In addition, we encourage a personalized handwritten card along with an introductory letter that is paperclipped on the outside of the introduction kit. This letter will explain what to expect during the first meeting and beyond.
The Fact Finder
Prospective clients expect that they will need to share information with you at some point. They are used to this sort of process with most professionals. Our firm has a version of this document, which we have named the “Personal Asset Manager.” (Hint: name your fact finder something catchy). Best practice is to not send this in the introduction kit, but rather to use as a resource by the advisor or to be filled out by the prospective client at a later point in the process.
Related Posts
Make Your Invisible Value Tangible
Most financial advisors provide far more value than their clients realize. The challenge isn't delivering value, it's communicating it. In this episode of The Rare Advisor, Aaron Grady breaks down the thinking behind the Legacy Package and reveals how advisors can transform invisible value into an unforgettable client story. Learn how to identify the services you're already providing, organize them around meaningful client outcomes, and create a memorable experience that strengthens relationships, builds advocacy, and reinforces your value over time.
What's Trending: How Back-to-School Spending Impacts the Stock Market
In this August episode of the Trending Report, host Tyler Krzciok examines one of the biggest seasonal economic drivers of the year: back-to-school and college spending. With consumers projected to spend nearly $147 billion on school supplies, electronics, dorm furnishings, apparel, and more, August serves as an important indicator of consumer confidence and economic health. Tyler Krzciok explores how this annual spending surge impacts major retail sectors, influences investor sentiment, and creates opportunities across technology, home goods, and consumer retail stocks.
Why Great Advisors Manage Expectations Before They Manage Portfolios
What if one of the most important promises a financial advisor could make is that they'll eventually lose a client money? In this episode of the Financial Advisor Marketing Playbook, Mark Mersman sits down with Josh Kneller of Atlas Capital Management to discuss investor behavior, managing expectations, market volatility, and advisor communication. Josh shares why advisors should stop chasing performance, start preparing clients for inevitable downturns, and focus on becoming a trusted opportunity rather than a salesperson. From handling difficult conversations to building stronger client relationships, this episode offers practical insights for advisors looking to improve retention, referrals, and long-term growth.