What Issues Should I Consider When Reviewing My Investments?

Whether you are advising novice or experienced investors, it is critical to review their investment portfolios as part of the financial planning process. Particularly during times of uncertainty and volatility, a portfolio review can help you and your clients evaluate and confirm their strategy, ensuring alignment with their financial goals.  This can also be a helpful tool to use with prospective clients who come to you looking for a second opinion.

This checklist helps guide your conversations with clients when reviewing their investment portfolios, and covers:

  • Investment objectives
  • Time horizon and risk tolerance
  • Diversification and asset allocation
  • Tax management, including capital gains and the NIIT
  • Performance monitoring


Updated for 11/15/2021

Click here for a client-facing email template.