15Five Associate Advisor III Performance Review

10/5/23, 11:37 AM

Best-Self Review® cycles · 15Five

https://my.15five.com/reviews/templates/view/1263244/?review_type=manager_review

1/5

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Questions

Company Values

Rate their contribution to the company value: : Always Growing & Improving - We strive to grow and evolve both personally

and as a firm. We are constantly asking ourselves how we can improve.

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Rate their contribution to the company value: : We Listen - We listen to our clients and allow all team members to be heard.

We believe the best ideas can come from any source.

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Rate their contribution to the company value: : Committed to Excellence - We are committed to providing exceptional ser-

vice and have established a culture of excellence that rewards exceptional execution.

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10/5/23, 11:37 AM

Best-Self Review® cycles · 15Five

https://my.15five.com/reviews/templates/view/1263244/?review_type=manager_review

2/5

Rate their contribution to the company value: : Accountability - We do what we say we are going to do, and everyone is per-

sonally accountable for delivering on their commitments.

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Rate their contribution to the company value: : Be Great, Stay Humble - We always strive for greatness, but are humble in

our successes. No egos and no one person is bigger than the team.

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Rate their contribution to the company value: : Integrity - We are honest, trustworthy and transparent. We always do the

right thing, even when no one is looking.

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Rate their contribution to the company value: : Lead By Example - We guide and inspire through our actions, not our words.

We walk the talk.

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Rate their contribution to the company value: : Teamwork Through Interdependence - We are autonomous. We support

each other as a team but also empower each team member to make decisions and take action.

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10/5/23, 11:37 AM

Best-Self Review® cycles · 15Five

https://my.15five.com/reviews/templates/view/1263244/?review_type=manager_review

3/5

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Rate their contribution to the company value: : Strong Work Ethic - We take pride in our work and are always willing to go the

extra mile to exceed expectations.

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Rate their contribution to the company value: : Practice What You Preach - We do not give advice that we ourselves don’t

follow. Our actions always match our beliefs.

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Job Skills

Planning Maintenance and Support (AA III)

• Maintain and manage clients' financial plans. • Extensive understanding of modeling techniques and functionality within

financial software programs. Including mastery of EMX, Holistiplan, and FinLife planning software and best practices for

modeling client situations. Also including checking to ensure that modeling is correctly reflected in cash flow reports,

monte carlo report, balance sheets, tax reports, etc. in EMX. • Management of Salesforce records, including Planning tab in

SF updates for clients before, during, and after meetings. •A thorough understanding of each client's financial situation.

Able to identify financial planning and investment opportunities for SPW clients to channel through Lead Advisors, includ-

ing formulating financial planning draft recommendations consistent with SPW standards and practices including (but not

limited to) insurance, estate, tax, savings, budgeting, and retirement considerations.

Self review and Manager review Opinion scale

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Support Lead Advisor for Client Meetings (AA III)

• Meeting Prep – Update & review financial plan and Salesforce, request client updates, run appropriate reports, update

OPN, and brief LA on any client specific items before the meeting. • Participate in Client Meetings – Present planning por-

tion of meeting, update Salesforce and planning software, create follow-up bullet points. • Meeting Follow-Up Emails/Tasks

- draft and send follow-up email, adding bullet points to follow up emails during meeting. Responsible for drafting, updat-

ing, and maintaining commonly used email templates. • Answer client planning questions and work independently to solve

problems and incorporate various considerations in new planning situations. • Enter trade/move money tickets with direc-

tion of LA.

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Needs Strong

Improvement

Needs Improvement Consistently Meets

Expectations

Exceeds Expectations Superb

10/5/23, 11:37 AM

Best-Self Review® cycles · 15Five

https://my.15five.com/reviews/templates/view/1263244/?review_type=manager_review

4/5

Self review and Manager review Opinion scale

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Investment Management Support (AA III)

• Maintain fundamental understanding of financial markets and current economic environment and events. • Maintain ex-

tensive understanding of SPW model portfolios, investment philosophy, tactical NDR rules, recent portfolio changes,

benchmarks, and strategy. • Maintain extensive understanding of SPW's alternative investment offerings. • Able to clearly

communicate and present SPW investment strategy. • Able to draft 401k recommendations and maintain client Riskalyze

profiles. • Able to make Riskalyze recommendations. • Able to analyze outside portfolios and draft portfolio recommenda-

tions with limited LA oversight.

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Business Development (AA III)

• Identify outside assets which could be managed by SPW and transition with limited oversight. •Assist LAs with transition-

ing assets to SPW. Help vet all opportunities and provide thoughtful recommendations for investment strategies. •

Develop and use follow-up system to keep qualified prospects interested. Set introductory meetings with prospective

clients, build financial plans, assist in building investment recommendations for prospective clients, follow up with them

throughout the three-meeting intro process to convert them to clients of SPW.

Self review and Manager review Opinion scale

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General Service Standards & Other Practice Support (AA III)

• Respond appropriately to team member and client communications in a timely manner. This includes acknowledging

client requests same day if a complete response is not possible and using best judgement to prioritize based on the nature

of the request/need. • Train/mentor other Associate Advisors and manage and approve Associate Advisor training plans and

best practices. • Support the Client Service team, help with tax season efforts, and provide any requested client support.

Self review and Manager review Opinion scale

Needs Strong

Improvement

Needs Improvement Consistently Meets

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Exceeds Expectations Superb

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Needs Improvement Consistently Meets

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Exceeds Expectations Superb

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Needs Improvement Consistently Meets

Expectations

Exceeds Expectations Superb

Needs Strong

Improvement

Needs Improvement Consistently Meets

Expectations

Exceeds Expectations Superb

10/5/23, 11:37 AM

Best-Self Review® cycles · 15Five

https://my.15five.com/reviews/templates/view/1263244/?review_type=manager_review

5/5

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