TRANSITION FINANCIAL ADVISORS, INC. - PATHWAYS TO THE US -

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TRANSITION FINANCIAL ADVISORS, INC. - PATHWAYS TO THE US - INTRODUCTORY FACTFINDER www.transitionfinancial.

2 Our Fee Structure & Becoming a Transition Financial Adviss Group Client Our planning fees are typically based on a sliding scale of your net wth and start at U$5,000. This approach falls in line with our comprehensive Canada-US financial planning philosophy because our firm looks at everything related to your situation. You can take comft in the fact that our fee is made known up front and put into an agreement that both you and we sign. The fee is then fixed until the engagement is fulfilled, giving you peace of mind that there are no hidden fees expenses to surprise you later. In our experience, the people that meet the following criteria generally benefit the most from our services: Comftable using the Internet and ; Desire a close, long-term wking relationship on a retainer basis versus a transaction on an hourly, tax project basis; Ideally have a lead time of three to four months befe a move to Canada is scheduled (longer with business entities); Willing & able to expediently implement the plan (with our assistance) once completed; Believe in our comprehensive Canada-US planning approach & willing to follow our proven process; Willing to delegate financial matters & have done so in the past; Make friends easily & willing to share of themselves, expecting the same in return; Net wth of $1 million me If this generally describes you, please complete this FactFinder & fax (me secure than ) it to our offices f a no-obligation review of your situation and the opptunities and obstacles your unique financial situation presents. The partners of the firm will review your FactFinder and develop a fee estimate befe contacting you to schedule a discussion of our services. eva@transitionfinancial.com phone: (480) fax: (480) Copyright All Rights Reserved Transition Financial Adviss, Inc.

3 TRANSITION PLANNING FACTFINDER INSTRUCTIONS 1. Fill out the FactFinder in its entirety, keeping in mind that some sections may not apply to your situation. If a question does not apply, indicate so with N/A. 2. This is a fillable.pdf that you can save on your computer to complete later. If you wish, you can print and fill it out but we ask that you use a black pen to ensure it is legible. 3. Check the appropriate currency (CDN$, US$) to ensure we recd the infmation crectly. 4. Review the FactFinder to ensure it is filled out to the best of your ability. 5. Return document to us via: eva@transitionfinancial.com Transition Financial Adviss Group, Inc S Gilbert Road, Suite Gilbert, AZ Fax: Phone: ** PLEASE NOTE ** ALL INFORMATION CONTAINED HEREIN WILL BE HELD IN THE STRICTEST CONFIDENCE. IF USING A PEN, PLEASE USE BLACK INK ONLY. eva@transitionfinancial.com phone: (480) fax: (480) Copyright All Rights Reserved Transition Financial Adviss, Inc.

4 I. GENERAL INFORMATION Page 1 of 9 CLIENT INFORMATION Full Name: (First/MI/Last) Preferred Name: Current Age: Occupation: Employer: CO-CLIENT INFORMATION Full Name: (First/MI/Last) Preferred Name: Current Age: Occupation: Employer: US ADDRESS Street: CANADIAN ADDRESS Street: Apt. Suite #: City: Apt. Suite #: City: State: Zip Code: Province: Postal Code: Phone: Fax: Phone: Fax: Family address: Family address: MARRIAGE Date of Current Marriage: MM/DD/YY City, State/Province: If previously married: CLIENT CO-CLIENT HOW DID YOU HEAR ABOUT US? Referred by an existing client Who? Referred by another professional Who? Media Which one? Website Wkshop Which one? Book Which one? Other: Today s Date Date Received F Office Use Only F Office Use Only

5 II. IMMIGRATION PLANNING Page 2 of 9 1. Please indicate all countries you are a citizen of (all that apply): Client: Canada US U.K. Australia Other: Co-Client: Canada US U.K. Australia Other: 2. Please indicate all countries you have landed immigrant/permanent residence status with ( all that apply): Client: Canada US U.K. Australia Other: Co-Client: Canada US U.K. Australia Other: 3. Please indicate your current country of residence (only one): Client: Canada US Other: Co-Client: Canada US Other: 4. If applicable, please provide the type of visa you are using to enter the US N/A if you have no immigration status at this time: Client N/A Co-Client N/A 5. Do you have a parent (living not) that has ever been a US citizen? Client: YES NO Details: Co-Client: YES NO Details: 6. Do you have any siblings that are residing in the US are US citizens? Client: YES NO Details: Co-Client: YES NO Details:

6 Page 3 of 9 III. CONCERNS, GOALS AND OBJECTIVES 1. Are you: ( only ONE) Considering making the transition to the US at some time in the future Planning to make the transition to the US on MM/DD/YY To which State? Already made the transition to the US on MM/DD/YY Other: 2. Why are you seeking the counsel of a financial advis at this time? 3. What concerns do you have about your transition to the US? 4. Please list any lifestyle changes you anticipate in the coming year (marriage, divce, retirement, new job, moving, schooling, children, etc.) 5. You may have heard that financial planning is a process, not an end in itself. What are the most imptant things you want to get out of this process? 6. A year from now, what do you hope to have accomplished?

7 Page 4 of 9 IV. WORKING RELATIONSHIP 1. What needs to happen in der f you to feel our relationship has been successful? 2. What can we do to make this relationship comftable and satisfying f you? 3. Have you hired adviss befe? (accountants, lawyers, financial planners) If YES, what did you like about the relationship, what led you to terminate it? (one) YES NO 4. What do you believe you are paying f when you retain a financial advis? 5. If there were one thing we could do that would cause you to terminate our relationship, what would it be? 6. If you decide to enter a relationship with us, how often would you like to have contact with us? Weekly, monthly, quarterly, annually, as needed? Please explain. 7. What is your preferred fm of contact? Face-to-face meeting, phone call/skype, ?

8 Page 5 of 9 V. NET WORTH AND CASH MANAGEMENT (one) 1. Are you comftable with your current cash flow?why? YES NO 2. Please outline any maj cash INFLOWS you anticipate in the NEAR term (next one to two years - severance package, buy-out, inheritance, life insurance proceeds, beneficiaries of a trust, etc.) ( one) 3. Please outline any maj cash EXPENDITURES you are planning in the NEAR term (next one to two years - vacations, health/dental/vision issues, autos, homes, hobbies, recreation, gifts, children, etc.) 4. Please outline any maj cash INFLOWS you anticipate in the LONG term (three to five years) 5. Please outline any maj cash EXPENDITURES you are planning in the LONG term (three to five years) 6. What would constitute a financial emergency on your part? Please explain. 7. If you have recently won lost, expect to win lose, any legal judgments, please provide details.

9 Page 6 of 9 ASSET OVERVIEW US INVESTMENTS Total Amount CANADIAN INVESTMENTS Checking Accounts: $ Chequing Accounts: $ Total CDN $ Amount Savings Accounts: $ Savings Accounts: $ IRAs: $ RRSPs & RRIFs: $ 401(k), 403(b), 457, etc. $ Locked-In Retirement $ Plans: Accounts (LIRAs): Profit Sharing Plans $ Profit Sharing Plans $ Deferred Compensation: Deferred Compensation: Employee Stock $ Employee Stock $ Purchase Plans: Purchase Plans: Employee Stock Option $ Employee Stock $ Plans: Option Plans: Brokerage Accounts: $ Brokerage Accounts: $ Rental Properties: $ Rental Properties: $ Business Interests: $ Business Interests: $ Other: $ Other: $ US PERSONAL USE ASSETS Total Fair Market Value CANADIAN USE ASSETS Principal Residence: $ Principal Residence: $ Total Fair Market Value Leisure/Timeshare $ Leisure/Timeshare $ Properties: Properties: Automobiles: $ Automobiles: $ Household Items: $ Household Items: $ Personal Property: $ Personal Property: $ Recreational Items: $ Recreational Items: $ Hobby Items: $ Hobby Items: $ Collectibles, Art, $ Collectibles, Art, $ Antiques, etc.: Antiques, etc.: Other: $ Other: $

10 Page 7 of 9 LIABILITY OVERVIEW US LIABILITIES Total Amount Owing CANADIAN LIABILITIES Retirement Plan Loan $ RRSP RRIF $ (401k, SEP, etc.): Home Loans: Amount Required to $ Amount Required to $ Exercise Stock Options: Exercise Stock Options: Brokerage Margin $ Brokerage Margin $ Amounts: Amounts: Rental Property $ Rental Property $ Mtgage(s): Mtgage(s): Business Installment, $ Business Installment, $ Loan/Note Amounts: Loan/Note Amounts: Other: $ Other: $ Total CDN $ Amount Owing US PERSONAL USE ASSETS Total Amount Owing CANADIAN PERSONAL USE ASSETS Home Mtgage $ Home Mtgage $ (Bank): (Bank): 2 nd Mtgage Home $ 2 nd Mtgage Home $ Equity Loans: Equity Loans: Leisure Property $ Leisure Property $ Timeshare Mtgages: Timeshare Mtgages: Auto Loans: $ Auto Loans: $ Total CDN $ Amount Owing Lay Away No $ Lay Away No $ Payments Till Plans: Payments Till Plans: Credit Card Balances: $ Credit Card Balances: $ Credit Lines: $ Credit Lines: $ Personal Notes/Family: $ Personal Notes/Family: $ Other: $ Other: $

11 ESTIMATED INCOME STREAMS fill-in all that apply Client Current Year Next Year Year After Next Currency Salary/Commissions: CDN $ Bonuses: CDN $ Auto Allowance, CDN $ Expense Account: Self-Employment Other Income: CDN $ Co-Client Current Year Next Year Year After Next Salary/Commissions: CDN $ Bonuses: CDN $ Auto Allowance, CDN $ Expense Account: Self-Employment Other Income: CDN $ Other Current Year Next Year Year After Next Net Rental Income: CDN $ Disability Income: CDN $ Alimony &/ Child Suppt Income: Page 8 of 9 CDN $ PENSION INCOME Not Applicable U.S. Social Security Company Pension(s) Canada Pension Plan Old Age Security CLIENT collecting CLIENT collecting CLIENT collecting CLIENT collecting CO-CLIENT collecting CO-CLIENT collecting CO-CLIENT collecting CO-CLIENT collecting

12 Page 9 of 9 VI. PORTFOLIO MANAGEMENT Ptfolio Management Experience: ( only one) None Limited Moderate Extensive Purpose: ( all that apply) Need Current Income Education Fund Retirement Fund Provide Inheritance Other: 1. How long do you expect to have your money invested befe you begin drawing on it f income, liquidating assets f a purchase substantially modifying your ptfolio? ( only one) Less than One Year One to Three Years Three to Five Years Five to Ten Years Ten Years Me Our Life Expectancy Our Life Expectancy and Our Children s 2. Based on histical data over the past 50 years, it is reasonable to expect the following perfmance in excess of inflation: Stocks: 6-9% Long-term bonds: 1-3% Savings Accounts: 0-1% With the above in mind, what is your rate of return objective? (F example, a ptfolio of half stocks and half bonds would be expected to return 3.5% to 6% above inflation). % above inflation. 3. If you know what your current investment allocation is, please provide details: DON T KNOW % Cash % Bonds % Stocks % Other 4. If you know how much of your current investment ptfolio is in the US vs. Canada vs. feign markets, please provide details: DON T KNOW % US % Canada % Feign 5. Do you look at your investment accounts ( only one): Daily Weekly Monthly Quarterly Yearly

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