Broker Check

FAQ Group Three - What is Your "Typical" Client? Who Will Work With Me?

What types of clients do you typically work with?

I am not a financial planner who chooses to classify a preferred client in terms of an investable dollar amount or net worth. However, because the investment management service I offer is not appropriate for all households, I can share that my typical client has a net worth between $100,000 and $4,000,000.

With that said, there are exceptions on either end of the spectrum. It simply depends on the person. I do not feel it is in the best interest of either party for an advisor to qualify or disqualify a potential client based primarily on their net worth, investable assets, or current income.

To me, a preferred client is:

  • a person who engages my tax and financial services,
  • an investor who values wisdom, knowledge, credibility, experience, and trustworthiness in their advisor,
  • someone who wants to be involved in the planning, investment, and tax minimization processes yet would prefer to delegate most of the tasks, research, and implementation,
  • one who sees life as something more significant than the sum of their possessions,
  • a person who ultimately wants to make a positive difference in the life of someone else or make a difference for society in some other positive way, and
  • a person or family who wants, values, needs, and is willing to pay for the services I am willing and able to provide.

Will you be the only financial planner working with me?

Some financial planners work with their clients directly, and others have a team of people who work with them. Ask who will handle your account, meet them and ask whether the planner works with professionals outside their practices, such as attorneys, insurance agents, or tax specialists. If yes, get a list of their names to check on their backgrounds.


Yes, I will be the only financial planner who will work directly with you. A team of people supports me operationally and administratively “behind the scenes” at Avantax Inc. I work with them on my client’s behalf. My clients may contact Avantax directly if they wish.

I will provide the qualifications and backgrounds of responsible persons at Avantax in advance of our presentation and proposal meeting per FINRA requirements.


Back to Five Groups of FAQ