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Vetting questions for prospective advisors to become pre-approved:

Education and Licensing

  • From which college did you receive your degree(s)? Any academic honors? Year of graduation?
  • Are you presently in good standing with your local and state professional associations?
  • Do you provide any additional areas of specialization?
  • Are you licensed to practice in any other states; if so, which?
  • Have you ever had any professional disciplinary action initiated against either you or your license to practice in any state?
  • Do you carry malpractice insurance?


  • How many years have you been practicing (minimum of ten)?
  • What percentage of your professional time is spent on the various areas of specialized planning?
  • What year did you decide to become an independent practitioner/partner (minimum of five)?
  • Will you always “own” the final work product rather than delegate it to a junior subordinate, as so frequently occurs in many large firms?
  • Will you agree to pre-established pricing that is fair and fully disclosed?

Associations and References

  • Are you now a member of any professional associations?
  • Have you ever been published, and if so, where?
  • Do you belong to any nonprofit boards of directors?
  • Please provide a resume and references from two certified professionals in related interdisciplinary fields, e.g. Attorney, CFP, CPA, CPE, etc

Fiduciary Note:

Since AFCG chooses to legally place our client’s interests first as part of our Client Value Proposition, and since Attorneys and CPAs are always required to act in such a fiduciary capacity, any pre-approved investment advisors MUST also work as fiduciaries. As such, this eliminates the investment industry’s many Registered Representatives because their employers will NOT permit them to act in a fiduciary capacity, and instead employs them to place their employer’s and their sales manager’s interests first, and where it is then up to the investor to discern the merits, or lack thereof, of any investment advice. On the other hand, a fiduciary advisor assumes this burden for the client, and must always recommend what is in the client’s best interests, as evidenced in writing by the ADV form.

This will also be the case with other interdisciplinary contributors whenever possible.