Individual Engagement Letter & Tax Organizer

These are examples of our engagement letter and tax organizer. Our engagement letter is a written agreement that describes the business relationship to be entered into by the firm and our client’s. We ask all of our clients to sign it. The letter details the scope of the agreement, its terms, and costs. The purpose of an engagement letter is to set expectations on both sides of the agreement. Its format is less formal than a contract and generally avoids legal jargon. The letter is intended to briefly but accurately describe services to be delivered along with terms and conditions.

At MillerThayer, we understand the importance of clear communication and a strong foundation for working together. This Individual Engagement Letter outlines the scope of our financial planning services for you and establishes the terms of our engagement.

Our Services:

The specific services included in this engagement will be determined by your unique financial goals and needs. However, our comprehensive financial planning process typically includes:

  • Initial Consultation: During our initial meeting, we will discuss your financial situation, goals, risk tolerance, and time horizon.
  • Data Gathering and Analysis: We will gather relevant financial information from you, such as income statements, asset valuations, and debt obligations. We will then analyze this data to gain a comprehensive understanding of your financial picture.
  • Financial Goal Setting: We will collaboratively define your short- and long-term financial goals, such as saving for retirement, funding a child’s education, or planning for a major purchase.
  • Development of a Financial Plan: Based on your financial situation and goals, we will develop a personalized financial plan with actionable recommendations. Your plan may include strategies for budgeting, debt management, asset allocation, investment selection, and retirement planning.
  • Implementation Assistance: We can assist you with implementing your financial plan by providing guidance on investment options, retirement account selection, and other relevant steps.
  • Ongoing Review and Updates: Financial circumstances and market conditions can change over time. We will periodically review your financial plan and make adjustments as necessary to ensure it remains aligned with your evolving goals.

Your Responsibilities:

To ensure a productive partnership, you are responsible for:

  • Providing complete and accurate financial information to us.
  • Responding to our requests for information in a timely manner.
  • Implementing the recommendations outlined in your financial plan to the best of your ability.
  • Notifying us of any significant changes in your financial situation or goals.

Fees and Payment:

Our fees for financial planning services are typically determined by the complexity of your needs and the scope of the engagement. We will discuss fee structures and payment options with you in detail during our initial consultation.


This engagement may be terminated by either party upon written notice. In the event of termination, we will provide you with a prorated refund of any prepaid fees, and you will be responsible for any outstanding fees for services rendered.

Investment Advice Disclaimer:

Please note that while this engagement letter outlines our financial planning services, it does not include investment advisory services. If you are interested in investment advice, we will provide you with a separate Investment Advisory Agreement that details the specific services offered and associated fees.

Building a Strong Partnership:

We believe in building long-term relationships with our clients. This engagement letter serves as a foundation for open communication and a collaborative approach to achieving your financial goals. We are committed to providing you with the highest level of service and personalized guidance throughout our partnership.

Contact Us:

If you have any questions regarding this Engagement Letter or our services, please don’t hesitate to contact us. We are here to help you navigate your financial journey and achieve your long-term goals.