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The Client Appointment Document Checklist

The Client Appointment Document Checklist | USA Financial
Jul 20

Repeated success does not happen by accident. It is achieved by using consistent processes. Have you ever looked back at a missed opportunity with a prospective client and said to yourself “I should have done this…” Advisors who follow a consistent, documented client acquisition process rarely find themselves making that statement.


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.

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