Marketing tools for financial planners and investment advisors.

The Financial Planner's New Prospect Binder

About Sample Financial Plans Sample Financial Planning Client Pre-appointment Letter Financial Planning Client Homework List Sample Financial Planning Client Meeting Agenda More Mundane Sales Tools Like This Financial Planning Seminar New Financial Planner Starter Kit Other Financial Planner Marketing Tools
Site Information
(is listed below. The financial planning software modules for sale are on the right-side column)

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Financial Software Price List

How to Buy Investment Software

Discounts for Financial Advisers
(and how to subscribe to the full Bundled Deal for $100 a month)

Lifetime and 5- to 15-year Extended Subscriptions

New Financial Planner Starter Kit

Professional Investment Portfolio Building Kit

Financial Planning Software Support

Financial Planner Software Updates

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Questions about Personal Finance Software? Call (503) 309-1369 or Send E-mail to

Free Downloads and Money Tools
(are listed below)

Free How-to Money eBook for DIY Investors, Critical Reading for Financial Advisers, and for Exposing Financial Myths

Free Sample Comprehensive Financial Plans

Free Money Software Downloads, Tutorials, Primers, Freebies, Investing Tips, and Other Resources

List of Free Financial Planning Software Demos

Selected Links to Other Relevant Money Websites


Free Retirement Calculators

Free 401(k) Calculators

Free Financial Calculators

Free Family Money Calculators

Free Real Estate Calculators

Free Debt Calculators

Free Investment Calculators

Free Tax Calculators

Free College Saving Calculators

Free Insurance Calculators

Free Business Owner Calculators

Prices and ordering information are at the bottom

These Marketing Tools are for Financial Planners and Investment Advisors, and not Consumers or Investors

If you're in the fee-only or Fee-Based money management business, then you'll need a marketing package to either send to new prospects in the mail before you meet them, and/or to give them to take home after the first appointment.

Information on building your new prospect binder for investment management.

The Usual Contents of a Financial Advisor's New Prospect Information Kit Are:

• An initial upbeat welcoming letter with good maps and directions to your office, including where to park, and how to get free validation if you have that (you should if you only have pay-parking).

• Sending a meeting agenda before appointments never hurts

• Here's a very old sample marketing piece Discussing the benefits of hiring a fee-only independent financial planner.

• Marketing pieces to send in the mail / give to new prospects to tell them about you and all about the firm's history, philosophy, background, staff, and financial advisers. Download a free sample firm bio.

You'll also get a sample marketing letter when you buy the tri-fold marketing brochure below.

• Color "tri-fold brochure" with basic marketing fluff about you and your firm. Tri-fold means you fold it into thirds so it fits into a regular envelope. Office supply stores carry custom tri-fold printer paper for this purpose.

What you can buy from us is in Microsoft Publisher 2000 format, which is a program you may not have. If you don't have access to it, then you probably shouldn't buy this piece. Publisher is on the professional version of MS Office (and Office 365), so poke around in your old install CDs to see if you have it. It's probably there.

This colorful fluffy marketing piece is in two parts, front and back (so there's two Pub files).

You'll also get two sample firm marketing letters, and a piece for getting referrals.

Use this template as a starting place to make your own custom tri-fold brochure. This will save you many hours of time if you need to make one yourself.

You'd just edit it to fit your practice, and then e-mail it to a Kinko's / Fed-X--like copy place, and they'll print high-quality copies for you cheaply. Or print yourself using HP Tri-fold Brochure paper from most any office supple store. How to buy this piece is at the bottom of this page.

• Client fee-only or Fee-Based contract and legal agreements. You'll get several Word docxs so you can cut and paste from these templates to make your own custom client contract.

This is the main legal agreement between you and the client when it comes to charging fees. It should discuss the details of your management fee schedule, your written financial planning fee schedule, ticket charges and trading costs, arbitration, how you handle discretion, 12b-1 fees, and all of the legal details about how you bill and do everything.

Use our templates as a starting place to make your own, and then run it by compliance and your lawyer to ensure it's all good and to see if you need to have anything else added to it.

This will save you many hours if you have to search the web for freebies, and then make one yourself from scratch. How to buy is at the bottom.

• Something to show prospects what services they'll get, given the amount of investments you'll be managing. Here's a free sample Level of Services chart.

• Something about how you manage money (a very short editable sample is included in the tri-fold brochure). A basic freebie is in this old sample newsletter. Several more are scattered around the free downloads pages.

• Past performance is always a plus, especially if you have a good track record. Studies show that it's the #1 thing clients look for in an investment manager. #2 is trust and #3 is the personal relationship, or how well you get along. Make a table of returns, like the one on this page, which will fit on one page.

• Part II of your SEC Form ADV (disclosure brochure). There's no sample here as you'll have to make it all on your own (you'll have this done already if you're this far along).

• A "Who the Players Are" piece to help prospects understand the complex relationships between you, the BD, the RIA, the Custodian, etc. Here's a free example to give you the basic concept so you can make your own. This may seem old hat and useless to you, but your clients will find it very helpful (and will ask questions once they see it until they understand it all).

The last issue of your investment newsletter, which some advisors send to their clients monthly as part of normal ongoing marketing and referral generation.

How to better understand (old Pershing) investment portfolio account statements. Whatever your custodian is providing to help in this area should be part of the binder. This is because we've never seen a client that can make sense out of them, and it shows you're the first to care about helping them understand complex pieces of the overall puzzle.

• Your Broker-Dealer will usually require you to use their new account form.

• Maybe some mutual fund prospecti or other reports from mutual funds you're sure you'll be using soon.

Homework assignment - how to prepare for the next meetings.

• A visual aid showing how the financial planner is the quarterback at the center of the other kinds of professionals (TIFF file - open with a graphics editor).

FYI: Have your Sample Financial Plan sitting on the table next to the couch in your waiting room helps (along with the usual calming magazines). Make sure it's stocked full of referral getting tools because you'll always want to be in their minds that you'll be asking as "part of your compensation."


Fee-Based Agreement / Contract Price (includes a few sample contract templates, a Level of Services template, and a sample written plan fee schedule): $10

Tri-Fold Marketing Brochure Price (includes the front and back of the tri-fold (two MS Publisher 2000 files), two sample marketing documents, and two referral getting tools, for a total of six files): $10

Both Together Are: $15

Buy now with your Visa or MasterCard by calling (503) 309-1369

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Financial Planning Software Modules For Sale
(are listed below)

Financial Planning Software that's Fully-Integrated
(the IFP is the NaviPlan alternative for 1/6th the price)

Goals-Only "Financial Planning Software"
(the MoneyGuidePro alternative for 1% of their price)

Retirement Planning Software Menu: Something for Everyone
(the RWRs, RP, and SRP)

Comprehensive Asset Allocation Software

Model Portfolio Allocations with Historical Returns

Monthly-updated ETF and Mutual Fund Picks

DIY Investment Portfolio Benchmarking Program

Financial Planning Fact Finders for Financial Planners Gathering Data from Clients

Investment Policy Statement Software (IPS)

Life Insurance Calculator (AKA Capital Needs Analysis Software)

Bond Calculators for Duration, Convexity, YTM, Accretion, and Amortization

Investment Software for Comparing the 27 Most Popular Methods of Investing

Rental Real Estate Investing Software

Net Worth Calculator (Balance Sheet Maker) and 75-year Net Worth Projector

College Savings Calculator

Financial Seminar Covering Retirement Planning and Investment Management

Sales Tools for Financial Adviser Marketing

Personal Budget Software and 75-year Cash Flow Projector

TVM Financial Tools and Financial Calculators

Our Unique Financial Services
(are listed below)

We're Fee-only Money Managers: So you can hire us to manage your money, and/or financial advisers can hire us to manage client money, using our Model Portfolios and/or Asset Allocation Systems

Mr. Market Timer's Unique Market-neutral Stock Market Timing Services
(the hedge fund alternative)

Consulting Services: Hire Us to Make Your Financial Plan, Retirement Plan, Benchmarking Report, Whatever

Buy or Sell a Financial Planning Practice

Miscellaneous Pages of Interest
(are listed below)

Primer Tutorial to Learn the Basics of Financial Planning Software

About the Department of Labor's New Fiduciary Rules

Using Asset Allocation to Manage Money

Download Brokerage Data into Spreadsheets

How to Integrate Financial Planning Software Modules to Share Data

CRM and Portfolio Management Software

About Monte Carlo Simulators

About Efficient Frontier Portfolio Optimizers

Calculating Your Investment Risk Tolerance

About Discount Brokers for DIY Money Management

About 401(k) Plan Management

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