Creating an Effective Introduction Packet for Prospective Clients

Sharing who you are, what you do, and why you do it with prospective clients is an essential step to finding clients who will appreciate your unique approach to financial planning.  As a Financial Life Planning professional, connecting with prospective clients also allows you the opportunity to set yourself apart.  Aside from website messaging, a well thought out Introduction Packet is the best way to communicate the goals of your practice to prospects.  The objectives of your Introduction Packet are to:

  1. Lay the groundwork for the advisor-client relationship.
  2. Differentiate your firm.
  3. Define the Financial Life Planning approach.
  4. Share your philosophy and mission.
  5. Introduce you and your team.
  6. Outline services.
  7. Gather basic client information.
  8. Provide your contact information, directions to your office, etc.

Here are some guidelines for items to include in your Introduction Packet:

Introduction Letter: The Introduction Letter provides a brief description of the mission of your firm and your approach to delivering financial advice.  In addition, it briefly introduces the concept of Financial Life Planning and the two M.Q. tools we recommend using as a centerpiece of your “Getting Acquainted Meeting” with prospects—the Financial Satisfaction Survey and the Life Transitions Survey.  The letter also includes an outline of the other items contained in the Introduction Packet, and provides the date and time of the initial meeting.

Company Brochure: The Company Brochure informs clients about important aspects of the services you provide and shares a more detailed outline of your firm’s mission and/or goals.  In addition, the brochure provides a brief overview of your Financial Life Planning approach, explains what prospects can expect if they sign on as a client, and draws the connection between the financial advice you deliver and their life goals.

Planner Bio: The Planner Bio goes in-depth about your professional background, education, credentials, and financial planning philosophy.  Many planners also opt to include a bit of personal information such as community or charitable involvement, hobbies, and family life.

Financial Satisfaction Survey: The Financial Satisfaction Survey assists clients in recognizing all the components that contribute to a sense of financial satisfaction.  The survey helps individuals understand both the practical and emotional factors that contribute to a state of financial well-being and allows them to assess their own level of satisfaction in those areas.  Reviewing the completed survey with your prospective client allows you to discuss the steps you can take with them to increase their sense of financial contentment.

Life Transitions Survey: The Life Transitions Survey is designed to help your clients better understand the inextricable ties between life and finance.  Reviewing the completed survey with your prospective clients will open the door to discussions that will emphasize how you are able to help them navigate the financial implications of both planned and unplanned changes encountered along life’s journey.

Simple Financial Statement: The Simple Financial Statement is a one-page form designed to be non-threatening to a prospective client and easy to complete, while still gathering enough preliminary quantitative data to estimate net worth, fit, and scope of engagement.

General Client Information Sheet: The General Client Information Sheet gathers basic contact information, birth dates, occupation information, and preferred method of communication.  It also collects names and birth dates or ages for the client’s children and parents, and any other important information the prospective client wishes to share.

Money Quotient provides Licensees with Sample Client Introduction Letters, the Simple Financial Statement, and General Client Information Sheet as part of the Practice Management Resources Library.  These items are available to all Licensing Levels.

For information about becoming an M.Q. Licensee, please email

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