1. 1 2013 Planning Process 2013 Client Opportunity Template A.Current Situation: Yearend Assets Revenue 2010 _____________ 2011 ______________ 2012 ______________ Client since: _____________How became a client: ______________ B. Plan in place:YesPartialNoPlan DateUpdated as of Financial Plan Investments Retirement Estate/Insurance Tax plan Cash Flow Plan    _________ __________ C. Contact Preference (1=low, 5 = high) 1 2Neutral4 5Desired frequency of contact Face to Face Telephone review Email update Lunch Presentation PM Presentation ______________      Face to Face: Telephone: _________: Times per yr ____ Last Date _____ D. Relationship with heirsHave AccountOverall relationship / comment (1=weak, 5=strong, 0 = none Name Spouse ________ Child One ________ Child Two ________ Child Three ________  Yes  Part # Comment __ ____________________ E. Assessment of Satisfaction (1=weak, 5=strong) F. Financial Priorities/Issues Performance Communication Relationship Overall _____________ 1. _______________________ 2. _______________________ 3. _______________________ Client: _______________________ Date completed: ________________

2. 2 2013 Planning Process G.% of assets held: ________%  Not Sure Type of assets held elsewhere _________________________ Where held Est $000 ________________ Recent assets added: Amount: $____________ Date: ________________  Approached about other assets in past Date: ________________ Response: ________________________________________________________ H.Professional AdvisorsMetRelationship (1 -5) Accountant: _______________ Lawyer: __________________ Other advisors: _________________________  __ _______________ __ ______________ I.Referrals provided Name: _____________________ Date: _________ Assets: _____________ Outcome: ________________ J.Close associates Met Family  ___________________ Met Friends  ___________________ Met Colleagues  __________________

3. 3 K.Knowledge of ClientDepth(1-5)Gaps to fill Financial situation Work situation Hobbies and interests Personal situation Overall knowledge _______ ___________________________ L.Past events or activities with this client Event / Activity _____________________ Date: _________ Feedback / Response: _______________________________ M.Hot buttons / Other key information and background ____________________________________________________________________ N.Opportunity Checklist 401K IRA roll over Tbills / cash 529 account Roth IRA Assets elsewhere Done  To Do  Will Power of Attorney Life Insurance Long term Care Ins. Critical Care Ins. ________________ Done  To Do 

4. 4 2013 Planning Process Twelve month plan starting Jan 1 2013 O.Key issues / problems / challenges in dealing with this client (if any) 1._____________________________________________________________ 2._____________________________________________________________ 3._____________________________________________________________ P.Key opportunities to add value to this client / ways to drive their agenda 1._____________________________________________________________ 2._____________________________________________________________ 3._____________________________________________________________ Q.Key business opportunities with this client / ways to drive our agenda 1._____________________________________________________________ 2._____________________________________________________________ 3._____________________________________________________________ R.Key priorities for next 12 months with this client Primary; ___________________________________________________ Secondary 1: ___________________________________________________ Secondary 2: ______________________________________________________ Planned activities for next 12 months with this client Timing: ___________ To do: ____________________________________________