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
How Advisors Can Get 10 Hours Back Every Week
In this episode of The RARE Advisor, host Aaron Grady and USA Financial Pareto coach and Practice Management Consultant Allan Oehrlein dive into time allocation as a core lever for advisory success. They unpack the biggest time drains—email, unsolicited calls, and open-door interruptions—and lay out a practical framework for calendar rebalancing that starts with personal time, management time, client appointments, dedicated communications windows, “work on the business” time, and high-impact growth activities. With real-world stories showing how advisors shift from reactive days to structured weeks (and even reclaim Fridays), Aaron and Allan share easy-to-implement tips: color coding calendars, scheduling buffers, daily huddles, and call/appointment protocols. If you’re ready to audit your calendar, define your ideal week, and create structure that truly liberates your practice, this conversation is your next step.
What Billion-Dollar Brands Teach Advisors About Client Loyalty
In this episode of the Financial Advisor Marketing Playbook, Mark Mersman explores what billion-dollar consumer brands like Peloton, Apple, Airbnb, Disney, and Starbucks understand about loyalty—and how financial advisors can apply these lessons to their own practices. Discover why loyalty is emotional, not transactional, and learn practical strategies to create belonging, simplify your process, showcase identity, design unforgettable experiences, and personalize client interactions. Tune in to transform your value proposition and build a community your clients never want to leave.
What’s Trending: 2025 Market Recap and 2026 Outlook for Advisors
In this episode, host Tyler Krzciok recaps the resilience of 2025 despite rising rates, trade tariffs, and a historic government shutdown. Discover which sectors drove S&P 500 growth, why commodities like gold and silver soared, and what themes underperformed. Then, look ahead to 2026: the indicators to watch, sectors with opportunity, and how top advisors are approaching client conversations. From AI and automation to diversification and formulaic investing, this episode is packed with insights to help you stay disciplined and focused on long-term success.