Cover image for Deena Katz's tools and templates for your practice : for financial advisers, planners, and wealth managers
Deena Katz's tools and templates for your practice : for financial advisers, planners, and wealth managers
Katz, Deena B., 1950-
Personal Author:
First edition.
Publication Information:
Princeton, NJ : Bloomberg Press, [2001]

Physical Description:
xii, 296 pages : illustrations ; 28 cm + 1 computer optical disc (4 3/4 in.).
Format :


Call Number
Material Type
Home Location
Item Holds
HG179 .K376 2001 Book and Software Set Non-Fiction Area-Oversize

On Order



Following on the heels of the author's immensely popular book, Deena Katz on Practice Management, this nuts-and- bolts resource illustrates its predecessor's time-saving concepts. Deena Katz's Tools and Templates for Your Practice elaborates on the first book's concepts by providing and explaining how to use the actual check sheets, forms, and procedures developed by top wealth managers and planners. It offers financial planners and advisers dozens of shortcuts to running an efficient, thriving practice. Whether financial planners have been in business for ten days or ten years, they will benefit from this book's commonsense, pragmatic approach to running a successful advisory practice.

Table of Contents

Section 1 Get 'Em in the Door
Chapter 1 Marketing, Public Relations, and Courting the Media
form 1-01 Customer Profile
Chapter 2 Old and New Marketing Tricks
form 2-01 Planning Our Estates
Chapter 3 Designing prospect Packages
form 3-01 Public Relations Material
form 3-02 Client Profiles
form 3-03 Features and Benefits
form 3-04 Investment Philosophy
form 3-05 Summary of Services/Tire Kicker
Section 2 Then Qualify 'Em and Interview 'Em
Chapter 4 Client Qualification tools and the First
form 4-01 Prospect Form
form 4-02 Preliminary Data Gathering Questionnaire
form 4-03 Client Fit Ratio
form 4-04 Client Objectives
Chapter 5 Data Gathering
form 5-01 Confidential Personal Financial Profile
form 5-02 Business Financial Planning Data Questionnaire
form 5-03 Cash Flow Worksheet
form 5-04 The Life Insurance Design Questionnaire
form 5-05 Asset Titling Matrix
Section 3 Figure 'Em Out
Chapter 6 Client Education
form 6-01 Risk Coaching Questionnaire
form 6-02 Risk Tolerance Analysis Algorithm
Chapter 7 Investment Policies and Financial Plans
form 7-01 Investment Policy Summary
form 7-02 Strategy Analysis
form 7-03 Financial Market Projections
form 7-04 Retirement Planning Projections
form 7-05 Asset History
form 7-06 Your Investment Policy
Section 4 Take Care of 'Em
Chapter 8 Client Communication Issues
form 8-01 Agreement for Wealth Management Services
form 8-02 Investment Policy Agreement
form 8-03 Investment Advisory Agreement
Chapter 9 Client Management Issues
form 9-01 Quarterly Newsletter
form 9-02 Client Policy Analysis
form 9-03 Manager Summaries
form 9-04 Manager Spotlight
Section 5 Take Care o' You
Chapter 10 Business- and Client-Related Tips and Tools
form 10-01 Shift Inventory: Results Plus
form 10-02 Trade Request Form for Principals and Employees
form 10-03 Insider Trading Policy
form 10-04 Client Confidentiality Agreement
form 10-05 Questionnaire for Domestic Investment Managers
form 10-06 Portfolio Breakdown
form 10-07 Weekly Performance Chart of Managers
form 10-08 Task Manager
form 10-09 Client Progress Sheet
form 10-10 Fee Calculation
form 10-11 Non-Managed Account Form
form 10-12 Value Pricing-Value Added Services
form 10-13 Sample Surveyst
form 10-14 Sample Letters
form 10-15 Sample Agenda
form 10-16 Client Satisfaction
form 10-17 Client Survey
Chapter 11 Lagniappe-Ideas to Use and Expand