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Scope of Engagement Letter for SagePoint Financial: Engage in a concise Fact-finding process to determine your goals and expectations of the services you feel you need. Conduct a Risk Analysis based on Modern Portfolio Theory. Prepare an initial Report Card of current investments. Use your living and life style expenses to prepare a budget and determine the short fall, if any, of income to expense. Prepare a Strategic Report Card showing optional investments tailored to your risk parameters with an emphasis on achieving the client’s stated objectives. ALL investments decision must be approved by you. Will prepare forms to transfer existing accounts if or when appointed Broker of Record. Will implement the optional investments. The client pays the transaction cost. Statements are prepared and issued by the clearing broker. You will have internet access to your accounts at the clearing broker on a daily basis. You can request assistance in the review and analysis of your current or proposed life insurance, health insurance, Medicare Supplemental coverage, Medicare Advantage Programs, Medicare part D plans, Short and Long Term Disability Insurance, Long Term Care Insurance, Travel Insurance etc. Will provide other Financial Planning services as requested subject to their expertise or provide a referral, i.e. Property and Casualty Agent, Elder Law Attorney, Accountant, etc.
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