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Retainer Case Study





Tech Director

Primary Goals:

Financial Guidance, Fiduciary Focused Planning and Flat Fee Engagement


Throughout Sarah’s working career, she had never worked with an advisor who was able to provide a flexible approach to engaging in a professional relationship. Sarah a software engineer, joked “Us engineers love the Do-It-Yourself approach”. It’s easy to see why when considering her analytical acumen and familiarity with implementing her ideas. Now, Sarah was aware that she may be a professional in her field but still needed help developing new ideas, having a financial professional to reference, and checking if the work that had been done was setting her on her desired path.

Sarah voiced her concerns when initially connecting with Jared about wanting a mixture of advice but not having to move the investments that she enjoyed managing herself. What we did first is start by diagnosing what her immediate questions are such as her asset allocation/location, upcoming significant purchases, and cash flow analysis. The focus on the planning work emphasized how returns and value can be generated outside of a pure investment analysis-driven relationship. After addressing the immediate impact points, Jared and Sarah will develop an annual calendar to target time-sensitive manners as well as other topics relative to Sarah’s situation.

Once having depicted the value available through the planning work that Jared and his firm cover, Sarah will onboard for the monthly retainer platform and get established through the personal planning platform.

This is a hypothetical situation based on real life examples. Names and circumstances have been changed. The opinions voiced in this material are for general information only and are not intended to provide specific advice or recommendations for any individual. To determine which investments or strategies may be appropriate for you, consult your advisor prior to investing.
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