This document outlines Ameriprise's client relationship model which takes a Dream > Plan > Track > approach to financial planning. It recommends annual, semi-annual, and quarterly checkpoint meetings between financial advisors and their clients to discuss goals, financial progress, recommendations, life changes, protection needs, investments, taxes, and estates. The meetings are meant to track ongoing progress, ensure goals and needs are still being met over time, and make any necessary adjustments to clients' financial plans.

1. ®
Ameriprise Client Relationship Model
Delivering on our unique and collaborative Dream > Plan > Track > approach to financial planning ®
______________________________________________________________
Name
Tracking Checkpoint
Annual Planning Meeting _____________________ _____________________
Date Date Topics:
Topics:
> Hot topic – based on your goals
> Goal tracking
> Fundamentals: Cash flow/net worth Activities:
analysis, basic protection, basic estate > Follow up on recommendations and action steps
Q1
> Offers/programs available to you Q2 > Discuss accounts and investment performance;
make recommendations
Activities:
(
Iden
rly tify
ula > Discuss educational information provided to you
> Recap goals and priorities for the year life
eg
r an
et > Discuss life changes that may have occurred
> Present Financial Planning Progress Report,
e
d
M
and revisit goals
go
Financial Planning Proposal (for new goals), Historical
al
cha
Performance Report, Morningstar ® Portfolio Snapshot
Tracking ongoing
nge
> Complete portfolio rebalance, if needed
progress
s
Make adju
Because your goals and
needs evolve over time, it
Year-End Review 6-Month Review
is important to track your
stm
progress as part of an
Topics: Topics:
ies
en
ongoing process.
> Accomplishments/activities achieved during the year > Protection planning/employee benefits
ts
nit
as
tu
> Dream Book ® guide (revisited) > Estate planning/beneficiary reviews
ec
or
p
n
es op
> Priorities/fee for next year > Tax management strategies
s ar y w
ne Q3
ider > Investment planning
Q4 Cons
Activities:
Activities:
> Discuss life changes that may have occurred
(
and revisit goals > Review status of recommendations
> Discuss any recommendations from last meeting > Present Financial Planning Proposal (if any new
goals), Historical Performance Report,
Morningstar Portfolio Snapshot
> Deep review of investments against goals,
_____________________ _____________________
risk tolerance and suitability
Date Date
This represents a recommended meeting set and is not required by your Ameriprise Financial Planning Service Agreement with Ameriprise Financial.
Financial advisor and client will work together to tailor an appropriate meeting set for their relationship.
Financial Planning services and investments available through Ameriprise Financial Services, Inc., Member FINRA and SIPC.
© 2008 Ameriprise Financial, Inc. All rights reserved. 406101 A (1/08)