Annual Review Meetings Procedures

Every client receives an annual meeting to review their strategic plan to make sure it is still on track to reach the client’s stated goals. To prepare for that meeting:

  • At the end of the previous review, set your appointment(s) with the client for the next year and a letter should be sent to confirm.
  • Your administrative assistant/office manager should call the client four weeks before the scheduled meeting to confirm or reschedule the meeting.

For the meeting

You’re AA or OM needs to pull all relevant portfolio paperwork for your review. You should have all relevant information about the client.

  • How long they have been a client
  • Are they married, single, divorced, widowed
  • Children with names and ages
  • Job/career situations
  • All insurance policies and beneficiary forms – are they up-to-date
  • All portfolio information
  • Consider LTC insurance
  • How long until they want to retire, are they on track to meet that goal
  • Review of all portfolio and financial instruments
  • Are changes needed, what are your recommendations

If they are retired

  • Discussion of required minimum distributions
  • Discussion of distribution strategy – do you need to make adjustments?
  • Review portfolio – if needed make suggestions for changes
  • Ask if they have discussed their finances with adult children – do their children have your contact information? Do you have the adult children’s contact information? This is very important.


It is important to put follow-up with a written letter, outlining the basics of the meeting discussion and any changes that were agreed upon. Thighs is a separate letter from the one confirming your next appointments.