Individual Tax Planning Prospect Questionnaire

Current Tax & Financial Situation

Tell us a bit about your current tax and financial profile to help us assess the complexity of your needs.
Do you currently work with a CPA or tax professional?
How would you describe that relationship?
What services are you currently receiving?
What do you wish your current advisor did more of?
When working with an advisor, which do you value more?*
What decisions, changes, or uncertainties are you currently facing that you want guidance on?*

Withholding & Estimated Taxes
Are you currently making quarterly estimated tax payments?
Have you owed a balance or received refunds in recent years?
Have you paid penalties or had “surprise tax bills” in recent years?
If you paid penalties can you explain why?
How are taxes currently being funded?

Payroll withholding onlyCombination of withholding and estimatesSavings set aside manuallyOther
When taxes are due, how prepared do you usually feel?*

Very prepared — planned aheadSomewhat prepared — manageable but stressfulNot prepared — often a surprise

Retirement & Long-Term Planning
Are you currently contributing to any retirement accounts?

401(k), 403(b), or employer planTraditional IRARoth IRASEP or SIMPLE IRAOther
Are contributions maxed out, partially funded, or uncertain?
Have you ever done a Roth conversion?
Do you expect retirement within the next:
Do you expect to start withdrawals in next 1–5 years?
What are your major retirement accounts?
Do you have a financial advisor or investment manager?
Health Insurance & Medical Planning
How is your health insurance obtained?
Are you eligible for or contributing to an HSA?
Do you have significant ongoing medical expenses?
Real Estate & Assets
Do you own your primary residence?
Do you own rental or investment real estate?
Number of properties
Held personally or through an entity
Any plans to buy or sell real estate in the near future?

Organization, Engagement & Readiness
Advisory work requires timely communication and follow-through. How would you describe your approach?
Are you comfortable using secure portals, digital tools, and virtual meetings to collaborate?
Which best describes how you want to work with an advisor?
When recommendations are made, I generally:*

Act promptly and follow throughAct eventually but need remindersPrefer minimal action unless required

Personal Profile