Process

After you have briefly familiarized yourself with Wealth Management LLC and you decide to explore a relationship with us. What's next?

We explore our alliance with you based upon your needs, but here's a handy checklist of what you can typically expect.

Step One: Get in touch with us!

Step Two: Let's have an initial conversation (phone preferred, or e-mail).

  • Who is Wealth Management LLC?
  • Who are you?
    • What type and size of firm are you?
    • How will our services best fit your firm based on what services you are currently offering or want to offer in the future?
  • What initial questions can we answer for you? See FAQs
  • Do you need additional information?

Step Three: We'll follow up

  • Additional questions?
  • What are the next best steps for you?

Step Four: Meet in person

  • Let's get to know each other at a customized, one-on-one visit of our main office.
  • Meet other staff, and conduct due care on our practices.

Step Five: Getting Started

  • We are a good fit for your investment objectives and you wish to become a client.
  • We present and explain our Wealth Management LLC Service Agreement to you.
  • We answer any questions you may have.
  • You (and we) sign the agreement when you're ready to get started.
  • We guide you through initial recommended actions.
  • Are you an established RIA or do you need to register?

Step Six: You must pass the Series 65 test or already be licensed

  • We will get you started with study materials.
  • We provide guidance on studying for the test in the most effective way.

Step Seven: We guide you through the approval process as an advisor through TDAmeritrade or Fidelity.

Step Eight: Schedule weekly coaching calls with a practicing CPA advisor. This personal touch allows us to cover such topics as:

  • Marketing System;
  • Presentation to clients;
  • How to bring the service to your firm.
Additional questions? Refer to our FAQs.