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This is a case study and is for illustrative purposes only. Actual performance and results will vary. This case study does not constitute a recommendation as to the suitability of any investment for any person or persons having circumstances similar to those portrayed, and a financial advisor should be consulted. This case study does not represent actual clients but a hypothetical composite of various client experiences and issues. Any resemblance to actual people or situations is purely coincidental.

Meet Jim & Kate

Jim and his wife, Kate, had money to invest but didn’t have the time to do the research, build an investment portfolio, or monitor changing market conditions.
They wanted to prioritize all the things they dreamed about as a couple and create a savings plan that strategically helped them work toward their goals.
They both made great money but were frustrated by the amount of taxes they paid each year in relation to their friends.
They felt somewhat organized but knew their financial plan had lots of loose ends that needed to be addressed, especially given the fact they had two children and had given very little thought to estate planning

How We Solved It:

  • Our team held an initial discovery session to learn more about the exciting things Jim and Kate wanted to accomplish. We asked strategic questions that helped them prioritize their goals and outlined a process for working toward achieving them.
  • Since investing was important to them, we built a strategic investment portfolio for Jim and Kate that was designed according to their specific risk level and with their goals in mind. The team helped them establish a systematic savings plan to help fund their financial future. We were responsible for ongoing management of their investments and met regularly with them to educate them on what they owned, why they owned it, and whether changes needed to be made as their circumstances and the world around them evolved.
  • In order to help give Jim and Kate confidence about the “what if’s” in their lives, our team conducted a life and disability insurance needs assessment and reviewed their insurance policies to ensure they were adequately protecting their family. When they determined that Kate was underinsured, we recommended a life insurance policy that helped fill the gap.
  • Our team worked with Jim and Kate’s estate planning attorney to put legal documents in place that provided for each other and their children in the event of a premature death, incapacity, or disability. We reviewed their account ownership and beneficiaries to make sure everything was structured in a way that complemented their estate planning documents.
  • We worked proactively with their tax professional to implement strategies and recommendations that would help minimize their income tax liability. We looked for ways to combine their specific tax strategies with their investment, retirement, education, and estate planning so that everything worked cohesively together.
  • As Jim and Kate’s lives changed, our team adjusted our recommendations to meet their needs. We continued to thoughtfully and proactively communicate with them and made ourselves available when they had questions outside of regularly scheduled meetings.

"We are thrilled to help our clients gain financial confidence through the investment portfolios and plans we help them create."

- Valerie

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