Processes > The Prosperity Investment Audit

The Prosperity Investment Audit

The Investment Audit™ transforms your client experience and greatly accelerates your production using a proven and complete process. This system provides our advisors with everything they need to conduct meetings, manage client expectations, review financial options and advise clients on next steps.

 

STEP ONE:

The FNA Profiler™

Know your client. During this step, advisors gather general information about their client’s current situation by initiating a Financial Needs Analysis. Information about goals, and short-term and long term objectives is gathered and the advisor begins to build a report with the client relative to their overall financial position.


STEP TWO:

The Information Builder™

A clearer picture is formed. In order to thoroughly evaluate a client’s current financial position and build an appropriate management strategy, additional information is needed. In step two, we assist you in identifying and collecting information critical to building a gameplan for your client.

 

STEP THREE:

The Prosperity Analyzer™

Crunching the numbers. Let Prosperity help you turn the data gathered regarding your client into a comprehensive evaluation. In step three we will conduct a thorough analysis of current holdings, investment objectives and risk tolerances.

 

STEP FOUR:

The Investment Alignment™

A client-centered approach. In step four we submit to you a complete outline of all aspects of your client’s financial situation along with a customized investment strategy. We will also provide you with all the additional materials needed to assist in developing your relationship with your client.

 

STEP FIVE:

The PCA Advantage™

We’re stronger together. In this step we provide ongoing monitoring, reporting and back-office support, freeing more of your time to be used elsewhere. The wealth of resources Prosperity Capital Advisors provides enriches your relationships with clients by allowing you to focus more on what really matters.


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Financial Planning and Advisory Services are offered through Prosperity Capital Advisors ("PCA") an SEC registered investment adviser with its principal place of business in the State of Ohio. PCA and its representatives are in compliance with the current registration requirements imposed upon registered investment advisers by those states in which PCA maintains clients. PCA may only transact business in those states in which it is registered or qualifies for an exemption or exclusion from registration requirements. Any subsequent, direct communication by PCA with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. Dowd & Associates and PCA are separate, non- affiliated entities. PCA does not provide tax or legal advice. (Insurance and Tax Services, etc.) offered through Dowd & Associates are not affiliated with PCA. Information received from this website should not be viewed as investment advice. Content may have been created by a Third Party and was not written or created by a PCA affiliated advisor and does not represent the views and opinions of PCA or its subsidiaries. This site may contain links to articles or other information that may be contained on a third-party website. PCA is not responsible for and does not control, adopt, or endorse any content contained on any third-party website. For information pertaining to the registration status of PCA, please contact the firm or refer to the Investment Adviser Public Disclosure web site (www.adviserinfo.sec.gov). For additional information about PCA, including fees and services, send for our disclosure statement as set forth on Form ADV from PCA using the contact information herein. Please read the disclosure statement carefully before you invest or send money.