Comprehensive Client Profile

Section 1

Personal information

Contact and employment

First name *

Last name *

Email address *

Phone

Date of birth

State of residence

Employment type

W-2 corporate executive Business owner / self-employed Both Retired

Job title

Employer / company

Section 2

Family & dependents

Education, insurance, and legacy planning

Marital status

Spouse / partner name

Spouse occupation

Spouse income (approx.)

Children / dependents

Name and age — helps us plan education savings timelines

Child 1 — name

Age

Est. college year

Child 2 — name

Age

Est. college year

Child 3 — name

Age

Est. college year

Education savings status

529 plan in place Planning to start a 529 Saving separately Not applicable

College savings target (per child)

Supporting aging parents?

Section 3

Income & assets

Your current financial picture

Total household annual income

Total investable assets

Concentrated position (>10% in one stock)?

Yes — company stock / RSUs Yes — other No

Largest concentration (company / approx. value)

Section 4

Tax situation

Foundation of a tax-smart strategy

Tax challenges most relevant to you

Select all that apply

High ordinary income bracket (37%) Large capital gains event upcoming RSU / option taxation AMT exposure Self-employment / K-1 income High state income tax (CA, NY, etc.) Estate / gift tax planning Net Investment Income Tax (NIIT) Not sure — need a full tax review

Planned liquidity events in next 3 years

Do you work with a CPA / tax professional?

Yes — actively engaged Yes — for filing only No — open to a referral

Additional tax context

Section 5

Retirement & goals

Where you want to go and by when

Monthly income needed in retirement

Current monthly savings rate

Top financial priorities (select up to 3)

Minimize taxes now Grow wealth / higher returns Generate passive / alternative income Retire early Fund children's education Diversify / de-risk concentrated stock Business exit / succession planning Estate & generational wealth planning

What does "living your legacy" look like for you?

Section 6

Risk & alternatives

Growth vs. protection approach

Overall risk tolerance

Moderate

Very conservativeAggressive growth

If your portfolio dropped 20%, you would…

Sell to reduce further losses Hold and wait for recovery Stay the course — I planned for this Buy more — it's a discount

Openness to alternatives (3–7 yr lock-up)

Yes — I'm accredited and very interested Open to a portion of my portfolio Prefer mostly liquid for now Need to learn more first

Alternative categories of most interest

Select all that apply

Investments or sectors to avoid

Section 7

Estate & protection

Protecting what you've built

Currently in place

Will / trust Durable power of attorney Healthcare directive / living will Life insurance Disability insurance Umbrella / liability policy None of the above Not sure — would like a review

Beneficiary designations — when last reviewed?

Updated within 2 years Been a few years — due for review Not sure

Additional estate or protection notes

Section 8

Advisor relationship

Experience and preferences

Currently working with a financial advisor?

Yes — actively engaged Previously but not now No

What's worked well — and what's been missing?

Preferred communication cadence

Monthly check-ins Quarterly reviews As-needed / event-driven Hands-off — notify me of major changes

Anything else you'd like Raj to know?

Comprehensive Client Profile

Personal information

Family & dependents

Income & assets

Tax situation

Retirement & goals

Risk & alternatives

Estate & protection

Advisor relationship

Profile received!