Comprehensive Financial Planning
COMPREHENSIVE FINANCIAL
PLANNING DIAGNOSTIC
10. Do you have a business continuity plan?
¾ Yes _____
¾ No _____ (If no, please explain)
COMPENSATION
Financial planning costs include what a client pays in fees and commissions. Comparison between advisors
requires full information about potential total costs. It is important to have this information before entering into
any agreement.
11. How is your firm compensated and how is your compensation calculated?
¾ Fee-Only (as calculated below):
Hourly rate of $_______/hour
Flat fee of $ _____________
Percentage______% to ______% of ________
¾ Commissions only; from securities, insurance, and/or other products that clients buy from a firm
with which you are associated.
¾ Fee and Commissions (fee based)
¾ Fee Offset, (charging a flat fee against which commissions are offset.) If the commissions
exceed the fee, is the balance credited to me?
• Yes _____
• No _____
12. Do you have an agreement describing your compensation and services that will be provided in
advance of the engagement?
¾ Yes _____
¾ No _____
13. Do you have a minimum fee?
¾ Yes _____ (If yes, please explain)
¾ No _____
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