D2 Application & Assessment

Practice/Advisor Name:

Years in Industry:

Financial Designations:

Total Number of Clients:

Total AUM:

Total GDC (annualized):

IMMEDIATE NEEDS:

How likely is it that your current practice will provide what you want?

What changes need to be made right now?

How often do you under promise and over deliver?

What are your biggest challenges today?

What would it be like if they are solved?

What would the revenue/profit difference be and how would that make you feel?

REFLECTION QUESTIONS

Please answer the following questions in a thorough manner

Exit Strategy - How and when do you plan to transition out of the practice? What’s next for you?

What accomplishments in your practice are you most proud of?

Why did you become a financial advisor?

What three words would you use to describe yourself?

If we were having this discussion three years from today, what has to happen over that period for you to feel happy with your progress?

What are your most important dangers that need to be eliminated?

What are your most important opportunities that need to be captured and capitalized on?

What are the most important strengths you (and your practice) have that need to be reinforced and maximized?

What are you doing that sets yourself apart from peers and competitors?

What do you believe in (your strongest beliefs)?

What is missing in your life and/or practice that you would like to fix?

What do you need to stop doing to obtain the life and practice you want?

What do you need to start doing to obtain the life and practice you want?

What do you want people to say about you at your funeral? How do you want to be remembered?

What makes your life meaningful?

What have you done in your life that has made you most proud?

What regrets do you have about your life and/or practice?

If married or you have children, what goals do you have for your marriage? For your family?

If you could have a magic wand and create the perfect lifestyle or existence for your family, what would it be like?

If you could throw away your calendar and replace it with one that took full advantage of your time, talent and resources in your business and life, what would your schedule look like?

What is preventing, or delaying, you from doing those things that are the best use of your time, talent and resources?

Do you have any dreams you have not accomplished yet?

If you could change any list of things in the world, your country and community, what would they be?

What else do you need to do to fulfill your potential?

Why should Dynamic Directions accept you and work with you in a coaching and consulting relationship?

Of your existing advisors, list those whose counsel you respect (friends, spouse, professionals, etc.).

Of your existing advisors, who should be included in a decision-making process?

What is the purpose of money?

EMOTIONAL INTELLIGENCE ASSESSMENT

Has there been a time that you were upset and were not quite yourself (at home or in the office)? If so, please explain.

Do you know what “pushes your buttons” and gets you upset most often? If yes, please list them.

Do you have a process for making the best decisions? If yes, please explain.

Do you react quickly to situations, or slowly think through the best response?

What causes the most stress for you?

Has stress ever held back your performance? If yes, how so?

Do you want to boost your overall performance level?

Overall Practice Assessment

Please review the following items and mark an "X" in the boxes with your greatest interest.

Along with checking the box of greatest interest, please rate yourself on the below items utilizing the following Scoring Chart by filling in the appropriate number on each topic:

9 or 10 = You are considered an expert, top 1% of your industry on the topic, you teach others regularly on the subject, and are sought out regularly to write/speak on the topic.
7 or 8 = You are highly compensated, considered above average when measured by your broker dealer’s standards (top 1%), top 5% of your industry on the topic, and considered a local authority on the manner.
5 or 6 = You have professional experience and working knowledge of the subject.
3 or 4 = You are aware of this subject and can explain it verbally but have no real hands on experience on the matter.
1 or 2 = You have limited to no knowledge of the topic
0 = You have never heard of the area

ADVISOR NEEDS

Uncovering your passions in your business and personal life, by creating a plan to spend more time pursuing the activities & relationships that matter most, and by creating a plan to spend less time pursuing the activities and relationships that matter least.

Please enter a number from 0 to 10.

Interested

I have great interest in this

Creating a Model Week to support the highest and best uses of your time, talent & resources

Please enter a number from 0 to 10.

Interested

I have great interest in this

Developing your Turbo Growth Calendar to plan out all of your Plan, Play and Perform days to ensure life/work balance

Please enter a number from 0 to 10.

Interested

I have great interest in this

Articulating your Top Shelf Projects to help you focus more time on the profitable activities

Please enter a number from 0 to 10.

Interested

I have great interest in this

Implementing a Professional Development Plan to enhance strengths and to manage weaknesses

Please enter a number from 0 to 10.

Interested

I have great interest in this

Insurance Product Knowledge (specify what type(s) of insurance below, if any)

Please enter a number from 0 to 10.

Types of Insurance

Interested

I have great interest in this

Specific Industry Development (i.e. 401(k), ESOP, Stock Options. Advanced Estate Planning – specify below)

Please enter a number from 0 to 10.

Types of Industries

Interested

I have great interest in this

Total

MARKETING DIVISION

Creating a Marketing Plan to help you attract High Net Worth Clients and Move Up Market

Please enter a number from 0 to 10.

Interested

I have great interest in this

Utilizing other messengers to help boost your credibility and enhance your magnetism

Please enter a number from 0 to 10.

Interested

I have great interest in this

Building a Magnetic Message to capture Top Shelf Clients

Please enter a number from 0 to 10.

Interested

I have great interest in this

Identify and implement proven strategies to attract your Top Shelf Clients

Please enter a number from 0 to 10.

Interested

I have great interest in this

Utilizing a tracking and touch system for your Top Shelf Prospects

Please enter a number from 0 to 10.

Interested

I have great interest in this

Creating a Positioning Plan to enhance client/prospect perception and increase leverage with potential clients

Please enter a number from 0 to 10.

Interested

I have great interest in this

Creating a customized event schedule unique to you and your Top Shelf Clients interests that show appreciation and generate ready to meet introductions

Please enter a number from 0 to 10.

Interested

I have great interest in this

Establishing a referral culture with your Top Shelf Clients who help you acquire other Top Shelf Clients for you

Please enter a number from 0 to 10.

Interested

I have great interest in this

Create and leverage Advisor/Practice Videos for website and Social Media

Please enter a number from 0 to 10.

Interested

I have great interest in this

Remodel and maintain Web Site

Please enter a number from 0 to 10.

Interested

I have great interest in this

Leverage Social Media (Linked In, Facebook) to generate higher visibility and more prospects

Please enter a number from 0 to 10.

Interested

I have great interest in this

Utilize public relations to highlight success and community involvement

Please enter a number from 0 to 10.

Interested

I have great interest in this

Building Professional Alliances that are mutually beneficial and profitable

Please enter a number from 0 to 10.

Interested

I have great interest in this

Articulating and Duplicating your Top Shelf Clients

Please enter a number from 0 to 10.

Interested

I have great interest in this

Identifying and leveraging your Top Referral Sources

Please enter a number from 0 to 10.

Interested

I have great interest in this

Total

INVESTMENT DIVISION

Comprehensive analysis and recommendations of Investment Side of a Practice

Please enter a number from 0 to 10.

Interested

I have great interest in this

Profit and loss analysis of current and proposed investment recommendations which includes access to proven tools and formulas

Please enter a number from 0 to 10.

Interested

I have great interest in this

Custom creation of investment systems and processes to support current/proposed investment recommendations for all size of portfolios and level of clients to maximize the profit potential of investment side of practice

Please enter a number from 0 to 10.

Interested

I have great interest in this

Creation of an Investment Philosophy Statement

Please enter a number from 0 to 10.

Interested

I have great interest in this

Tracking systems for investment strategies to create proactive communication to the client

Please enter a number from 0 to 10.

Interested

I have great interest in this

Implementing alternative investments that attract affluent investors

Please enter a number from 0 to 10.

Interested

I have great interest in this

Leveraging MorningStar reports for screening, analysis and as a client service tool

Please enter a number from 0 to 10.

Interested

I have great interest in this

Create and implement investment client service model to support and document chosen investment strategies

Please enter a number from 0 to 10.

Interested

I have great interest in this

Client service check list and meeting outline to deliver value to clients of the benefits of advanced strategies

Please enter a number from 0 to 10.

Interested

I have great interest in this

Presenting affluent investment strategies to discerning affluent clients

Please enter a number from 0 to 10.

Interested

I have great interest in this

Client meeting outline to set realistic expectations based on return and client's objectives to go deeper in the relationship

Please enter a number from 0 to 10.

Interested

I have great interest in this

Investment Pricing Model with right match of pricing for value with wrap accounts and separately managed accounts

Please enter a number from 0 to 10.

Interested

I have great interest in this

Average Managed Account/Wrap Fee Non-discretionary:

Average Discretionary Account Fee:

Average Separately Managed Account Fee:

Equities:

Fixed:

Total

ADVISOR TEAM

Identifying, understanding and acting upon team strengths and gaps

Please enter a number from 0 to 10.

Interested

I have great interest in this

Building out teams and support for practice

Please enter a number from 0 to 10.

Interested

I have great interest in this

Leveraging team strengths in correct roles, responsibilities and systems

Please enter a number from 0 to 10.

Interested

I have great interest in this

Building organizational structure and chart for practice (current and future)

Please enter a number from 0 to 10.

Interested

I have great interest in this

Identifying key activities and the measurements of key activities for each team member; managing behavior to peak performance within the key activities

Please enter a number from 0 to 10.

Interested

I have great interest in this

Hiring Process

Please enter a number from 0 to 10.

Interested

I have great interest in this

Human Resources (i.e. benefit handbook, performance plans/reviews, delivering tough messages, bonus and compensation planning for licensed and non-licensed staff)

Please enter a number from 0 to 10.

Interested

I have great interest in this

Implementing Professional Development Plans for team members

Please enter a number from 0 to 10.

Interested

I have great interest in this

Recruitment of additional producing Financial Advisors

Please enter a number from 0 to 10.

Interested

I have great interest in this

Total

Number of full-time team members: (list each name and title)

Number of part-time team members: (list each name and title)

Client Experience Timeline

Scripting out the Client Promise and Service Values; implementing and living Client Promise and Service Values

Please enter a number from 0 to 10.

Interested

I have great interest in this

Aligning pricing with value for all services

Please enter a number from 0 to 10.

Interested

I have great interest in this

Performing a profitability study on your client base to help determine the minimum amount of revenue each category of clients will need to generate

Please enter a number from 0 to 10.

Interested

I have great interest in this

Utilizing client service check lists and meeting outline to deliver value and educate clients of the benefits of advanced strategies

Please enter a number from 0 to 10.

Interested

I have great interest in this

Defining the client experience for each tier of your client base which includes a timeline of meetings, events, branding, proactive communication, saying thank you, making Top Shelf Clients feel special, educational opportunities, etc.

Please enter a number from 0 to 10.

Interested

I have great interest in this

Implementing touch points of communication with your clients to ensure your brand is being executed with proper messaging by all team members.

Please enter a number from 0 to 10.

Interested

I have great interest in this

Conducting Client Segmentation on your entire client base. Articulate the level of service and experience you will provide and the specific criteria of who will meet your best – Top Shelf Clients (correlates with Client Service) – and the remaining tier of clients.

Please enter a number from 0 to 10.

Interested

I have great interest in this

Being a master at interpreting value to clients

Please enter a number from 0 to 10.

Interested

I have great interest in this

Total

CEO ROLE

Articulating your personal and business goals, growth blockers, commitment, strategies, tactics, key team members, timelines, discipline, strengths, weaknesses, and capitalization plans culminating into an overall Dynamic Game Plan.

Please enter a number from 0 to 10.

Interested

I have great interest in this

Profit and Loss analysis of Practice; making decisions based on analysis

Please enter a number from 0 to 10.

Interested

I have great interest in this

Leveraging Risk Management techniques

Please enter a number from 0 to 10.

Interested

I have great interest in this

Enhancing leadership and management skills

Please enter a number from 0 to 10.

Interested

I have great interest in this

Successfully integrating and leading change throughout your organization

Please enter a number from 0 to 10.

Interested

I have great interest in this

Managing and leading team members through ongoing change

Please enter a number from 0 to 10.

Interested

I have great interest in this

Strengthening your emotional intelligence

Please enter a number from 0 to 10.

Interested

I have great interest in this

Continuity Planning and Succession Planning from practice (there is a separate assessment for Succession Planning)

Please enter a number from 0 to 10.

Interested

I have great interest in this

Acquiring practices

Please enter a number from 0 to 10.

Interested

I have great interest in this

Identifying, organizing and prioritizing all business opportunities from existing clients

Please enter a number from 0 to 10.

Interested

I have great interest in this

Managing cash flow through forecasting and budgeting for you practice

Please enter a number from 0 to 10.

Interested

I have great interest in this

Organizing and implementing a Practice Model that best fits your long term vision

Please enter a number from 0 to 10.

Interested

I have great interest in this

Accountability toward goal setting and achieving an extraordinary practice

Please enter a number from 0 to 10.

Interested

I have great interest in this

Total

I want to grow my practice Total GDC every year:

0-15%

15-30%

30% Plus

Financial Planning Division

Pricing of planning services (ties in with building of your Client Service Menu) including which deliverables are suitable for each client category based on segmentation of clients

Please enter a number from 0 to 10.

Interested

I have great interest in this

Bringing new menu of services to be delivered to clients/prospects with maximum results

Please enter a number from 0 to 10.

Interested

I have great interest in this

Understanding relationship between value and price; pricing financial planning services appropriately

Please enter a number from 0 to 10.

Interested

I have great interest in this

Systems to track and monitor the progress and payment of plans

Please enter a number from 0 to 10.

Interested

I have great interest in this

Activity inventory for financial plans to align the right people to produce financial plans from start to finish

Please enter a number from 0 to 10.

Interested

I have great interest in this

Financial Planning Process (Proper Pricing, Systems, and Support)

Please enter a number from 0 to 10.

Interested

I have great interest in this

Outsourcing your Planning Deliverables

Please enter a number from 0 to 10.

Interested

I have great interest in this

Financial Planning Pricing Model with right match of pricing for value.

Please enter a number from 0 to 10.

Average Financial Planning Fee:

Interested

I have great interest in this

Total

INSURANCE PLANNING

I am interested in integrating insurance (Life, LTC, and Disability) in my practice in a more meaningful and productive way (There is a separate insurance assessment)

Please list the top five items you marked in order of importance to work on in a coaching relationship:

Please list 3 Key Insights from the assessment:

Application Fee: $499

(If you sign an arrangement to work with D2, half of this fee will go to a local charity and half will be credited to your D2 account. If you do not sign with D2, the entire fee will go to a local charity.)

Advisor Name

Application Fee

Price:

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