Personal Information:

Employment Income

Marital Status

Other Income


State of Residence

Personal Health

Life Expectancy

State of Residence (In Retirement)

Smoking Preference

Resource Data Required:

Sources of retirement income

Net worth

Taxable accounts

Tax deferred accounts

Emergence account

Tax free accounts

Social security optimization

Other assets (real estate, illiquid investments, etc.)

Willingness to save more

Current cash flow analysis

Deferred comp

Stock options

Restricted stock

Goals and Objectives:

Desired retirement age

Health care costs (Medicare Part B, D, Medigap, Out of Pocket)

Basic retirement needs (food, clothing, shelter, taxes, utilities, etc.)

Expectations of what retirement will be like

General concerns or worries about retirement

Leave bequest/charitable giving

Major purchases

Travel goals

Car goals

Education goals

Home improvement goals

Providing care for parents



Liabilities Required for Plan:


Credit card debt

Taxes owed


Alimony or other recurring obligations

Student Debt

Vehicle loans

Business debt

Risk data:

Client market risk/loss tolerance

Life insurance needs

Co-client risk

Inflation risk

Longevity risk

LTC needs

DI needs

P/C or Umbrella needs

Results data required:

Impact for inflation

Impact of additional savings

Impact of asset allocation

Impact of lower returns on plan

Impact of long-term care needs

Impact of unexpected losses on plan

Impact of premature death on plan

Likelihood of funding all goals (Monte Carlo)

Likelihood of funding basic needs (Monte Carlo)

Impact of sequence of returns on plan

Impact of concentrated stock exposure to plan

Impact of cut to social security or pension to plan

Creation of Withdrawal Policy / Investment Policy Statements

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