Our Services

STEPS INVOLVED WITH A COMPREHENSIVE PLANNING PROCESS

We offer a complimentary meeting to individuals wishing to assess where they are in their financial planning and whether or not James C. Brocke CFP® may be of help to them in achieving their goals and objectives while potentially adding value to their plans.  If appropriate to develop a relationship, James C. Brocke CFP® will quote a fee for the work to be performed by the firm so that a prospective client may determine if there may be enough value to engage the firm for their services. 

James C. Brocke's CFP® approach to evaluating a clients current financial plan, as well as making recommendations for any revisions to the current plan (if one exists), is to perform the following functions during the planning process:


DATA GATHERING FUNCTION:  Allow ample time for the client to clarify what is important to them about money and those that they care about, as well as putting into writing what their specific goals and objectives are, and what they wish for their financial plan to accomplish.

 


PRESENTATION OF ANALYSIS AND RECOMMENDATIONS:  Allow ample time to present an analysis of where a client is based on their current plan in achieving the goals and objectives that were stated in function one.  Frequently, the analysis will confirm that certain areas of their plan are on track and fully funded, while other portions of the analysis may indicate that there are soft spots in their planning that may need attention to fulfill the goals and objectives stated.  During this function, a written summary of  recommendations is given to the client suggesting alternative strategies and products that may help a client better achieve their goals and objectives.


IMPLEMENTATION FUNCTION:  During this function the Company will work with your other advisors in helping to understand the advantages and disadvantages of each recommendation so that the client can ultimately structure or restructure their financial, legal, and tax planning to more effectively achieve their stated goals and objectives.  Depending on the complexity of the recommendations, it may take some time to implement the final plan.  James C. Brocke CFP® will work with a client and their other advisors to the extent needed.


MONITORING OF ASSETS:  Designed to give clients a single database that can provide a financial summary of personal and business assets.  Clients will be able to view a current balance sheet showing all of their assets, updated daily and will have access to the “Vault” for storing important documents such as wills, trusts, insurance policies, passports, etc.  All of the information is password protected in a secured, encrypted personal web address.

 

 

 FEE SCHEDULE*

James C. Brocke CFP® charges different fees for single database services:

A.  Comprehensive Financial and Succession Planning,  Initial Analysis: The fee for this one-time service ranges from $1,800 to $15,000.  During the complimentary introductory meeting, a specific fee will be quoted to you based upon the expected time and complexity of the initial planning engagement.  Before the engagement begins, all parties will be required to sign the Comprehensive Planning Agreement, which will confirm the fee in writing.  One-half of the fee will be due upon completion of the data gathering meeting.  The balance of the fee is payable after the analysis has been completed to the client’s satisfaction, which usually is the second or third meeting.

Following the initial data-gathering meeting, the client will have the following:

  - A Presentation Meeting to review the analysis and strategic planning 
    recommendations, and thereafter,

  - A “Steps To Be Taken” Meeting to outline steps to implement the  
    recommended strategies.

AND/OR

B. On-Going Comprehensive Financial Planning Assistance:  The fee for this service ranges from $1,500 to $9,000 annually.  If this is of value to you, this fee will be decided at the conclusion of the presentation meeting and it will be based upon the expected time and complexity of the services required.  All parties will be required to sign the on-going Planning Agreement, which will confirm the fee in writing.  The mutually agreed upon fee is paid within two weeks of signing the agreement.  

AND/OR
 
C. Monitoring of Assets by James C. Brocke CFP®:  The fee for this service ranges from $900 to $6,000.  This fee is paid within two weeks of the agreement being signed and the client has provided all the data and documents necessary to assure current asset allocation being available.

Under this agreement, the client’s interest is in having available a single database that can provide a financial summary of personal/business assets.  Such a summary will allow the client the following:

- Current allocation of assets
- Aggregation of assets, single-page summary
- A current balance sheet, updated daily
- “Vaulting” of documents
- Encrypted access

OR

D. Monitoring of Assets by Client:  The client acquires an encrypted ID and Password from James C.  Brocke CFP® and is responsible for all inputting/aggregation and future monitoring of investments and other assets.

E. A predetermined project fee is not be be exceeded

AND/OR


F. Consulting on Business, Individual Issues/Concerns @ $300.00/Hour.

*Part of a complete ADV report on file with regulators (available on request)