Practice Assessment/Advisor Discovery Questionnaire
Contact Information
First Name
Preferred Name
Last Name
Job Title
Company Name
Preferred Phone
Extension
Phone Type
Please select...
Business
Cell
Home
Preferred Email
Business Address
City
State
Zip Code
Business Website
What is your local time zone?
Please select...
Alaska
Central
Eastern
Hawaii
Mountain
Pacific
Practice Information
Years in Industry
Are you an Investment Adviser Representative with an RIA?
Yes
No
Are you securities licensed?
Yes
No
Who is your Broker Dealer?
Are you affiliated with any Independent Marketing Organizations (IMOs)?
Yes
No
Name(s) of IMO(s)
Assets Under Management
Enter total without decimals or commas
x
Gross Production
Enter previous year total without decimals or commas.
x
How many Advisors work in your personal practice?
Do you share clients with another Advisor?
Yes
No
Name(s) of Advisor(s) with whom you share clients
What percentage of your practice revenue is fee versus commission-based?
Fee-based
Commission-based
Approximately how many current clients are in your book?
What percentage of your book has a current email address?
Is your client base segmented (e.g. A, B, C Clients)?
Yes
No
How do you utilize this client segmentation to manage your practice? (e.g., contact/meeting frequency, services provided)
What's Important To You?
What are your motivations for considering the Client 4 Life Management System
™
(select all that apply)?
More time to sell / more appointments
Deeper client relationships
Effective way to manage your practice
Better work / life balance
Increased revenue
What are your goals / desired outcomes for the Client 4 Life Management System
™
?
What are the three biggest challenges in your practice today that need a solution?
What functions of the Client 4 Life Management System
™
would you be interested in deploying in your practice?
Campaign Pipeline Management
(C4L sales/service campaigns)
Appointment Management
(Appointment Manager sets qualified appointments)
Client Checkup Calls
(Client stay-in-touch campaign process)
Practice Management Support
(
Advisor Support Coordinator manages C4L /
Weekly Sync Mtg
)
Directive-Based Dashboards
(Real-time practice management information)
Advisor Updates
(Mobile Assistant "Talk It" process to capture meeting notes and assign tasks)
Trusted Advisor Messaging
(Monthly drip, birthday/etiquette messaging, content library)
If you had substantially more time to focus on what’s important to you, what would you spend the time on?
What would having deeper, more meaningful client relationships mean to you and your practice?
Team-Based Approach
Do you have an administrative assistant or other support staff who supports your practice?
Yes
No
How many full-time support staff?
How many part-time support staff?
Support Staff Information
Staff 1 First Name
Staff 1 Last Name
Staff 1 Preferred Email
Staff 1 Job Title
Staff 1 Years of Experience
Staff 1 # of Advisors Supported
Staff 1 # of Hours Worked Per Week
Staff 1 Years with the Firm
How does Staff 1 handle change?
Does Staff 1 like technology as a solution and embrace it?
Yes
No
If no please explain
Add 2nd staff member
Staff 2 First Name
Staff 2 Last Name
Staff 2 Preferred Email
Staff 2 Job Title
Staff 2 Years of Experience
Staff 2 # of Advisors Supported
Staff 2 # of Hours Worked Per Week
Staff 2 Years with the Firm
How does Staff 2 handle change?
Does Staff 2 like technology as a solution and embrace it?
Yes
No
If no please explain
Add 3rd staff member
Staff 3 First Name
Staff 3 Last Name
Staff 3 Preferred Email
Staff 3 Job Title
Staff 3 Years of Experience
Staff 3 # of Advisors Supported
Staff 3 # of Hours Worked Per Week
Staff 3 Years with the Firm
How does Staff 3 handle change?
Does Staff 3 like technology as a solution and embrace it?
Yes
No
If no please explain
Advisor
Staff 1
Staff 2
Who enters/maintains client data?
Who sets your appointments?
Who handles client service?
Who does client marketing?
Advisor
Staff 1
Who enters/maintains client data?
Who sets your appointments?
Who handles client service?
Who does client marketing?
Advisor
Staff 1
Staff 2
Staff 3
Who enters/maintains client data?
Who sets your appointments?
Who handles client service?
Who does client marketing?
What is the process you use to document what happened at meetings you conduct with clients and prospects?
What is the process you use to assign tasks to your support staff and follow up on status?
Campaign Pipeline Management
How many appointments do you hold each week?
How many appointments would you like to hold each week?
What percent of appointments do you hold with new prospects versus existing clients?
New Prospects
Existing Clients
How do you generate new prospects / leads?
What specific prospecting efforts are planned/underway over the next 12 months?
How do you qualify new prospects (i.e., how do you know they are right for your practice)?
How do you track where a prospect is in the pipeline?
Please indicate any specialized client services you provide in your practice
Tax Preparation
Client Appreciation
Other
None
If other please explain
Trusted Advisor Program
Do you send out newsletters, birthday cards, anniversary cards, notes, emails or any other type of client marketing communications?
Yes
No
How often and what format?
What C4L client communications would you be interested in deploying in your practice?
Monthly Drip
Birthday
Wedding Anniversary
Etiquette Messaging (e.g. thank you, condolence, congrats)
None
How often do you call your clients just to check on them?
1 – 2 times per year
5 or more times per year
3 – 4 times per year
No formal process
Who calls?
Do you use a script?
Yes
No
Do you document your calls?
Yes
No
How do you track whom you have called?
CRM
Spreadsheet
Word Document
Sticky Notes
Other
Not Tracked
If other please explain
Do you conduct client reviews?
Yes
No
How do you identify candidates for a client review
?
CRM review due report
Internal review list
Clients (who ask for a review)
Other
If other please explain
How do you let a client know it's time for a client review?
Phone call
Letter
Email
No formal notification used
Other
If other please explain
What's your process to pursue and track new referrals?
How do you track clients' outside funds/assets not held with you or your firm?
How do you track new sales opportunities with your current clients?
Practice Management
What is your current Client Relationship Management (CRM) software?
Advisors Assistant
Gorilla (Bill Good)
Junxure
Microsoft Dynamics
Pareto
Redtail
Salesforce
SmartOffice
Other
I do not utilize a CRM
If other please explain
What are the top 3 features you utilize in your CRM?
What's your process to gather new clients' email addresses, phone numbers and other contact information?
What electronic calendar do you use to manage your appointments?
Microsoft Outlook
Google
I do not use an electronic calendar
CRM Calendar
Other
If other please explain
More About You
What are your strengths?
What are your weaknesses?
How do you handle change?
Do you like technology as a solution and embrace it?
Yes
No
If no please explain
My practice will thrive because...
My practice will fail because...
My perfect work day / work week would look like...
Will you be out of the office for a substantial amount of time over the next 90 days?
Yes
No
Please describe
How did you hear about us?
Please select...
Trade Publication
Existing User
C4LG Sales Team
Conference/Trade Show
LinkedIn
Google
Facebook
Email
Other
Name of Source
Name of Source & Location
If other please explain
Contact Information