facebook twitter instagram linkedin google youtube vimeo tumblr yelp rss email podcast phone blog search brokercheck brokercheck Play Pause



Bob and Sarah

CASE STUDY 1 : AGE 54 & 59

Work Optional

Primary Goals:

Reduce taxes, improve investments, and create a reliable income stream in retirement.




The Challenge

Bob and Sarah find themselves without a concrete retirement timeline.

It's not that they lack the means to retire; they simply haven't decided when (or if) they want to bid farewell to their careers.

As a tenured professor, Bob has established himself in academia, while Sarah is a highly-regarded consultant. Their careers bring purpose and fulfillment to their lives.

Over the years, they have dedicated themselves to excelling in their respective fields and don't feel compelled to abandon their passions just because they're nearing the typical retirement age. Their predicament doesn't stem from financial missteps or constraints; they've been consistently making smart financial choices:

  • Earning substantial six-figure incomes
  • Maximizing contributions to retirement accounts and investments
  • Building significant equity in their primary residence
  • Securing appropriate insurance coverage

So what's the issue?

Bob and Sarah can't shake the feeling that something might be missing. Is their existing plan truly the right fit for them?

They acknowledge that there may be gaps in their knowledge.

As they transition into the next phase of their lives, they're seeking expert guidance to help them make strategic financial decisions and navigate the complexities of taxes in retirement.

Though they're not in a rush to retire, Bob and Sarah want the reassurance that they have the option.


The Strategy

Uncertain where to start, Bob and Sarah decided to seek the expertise of a financial planner.
Moreover, their busy lives left them with little time to delve into every financial detail on their own.

The Outcome

Upon hiring a financial planner, Bob and Sarah sought more than just investment advice.
They desired assistance with their entire financial landscape, with a particular focus on taxes.

A comprehensive plan addressing all their requirements was crafted:

  1. A tax-efficient investment strategy to minimize risk and enhance returns.
  2. Decreased investment expenses
  3. Improved asset allocation, better aligned with their objectives.
  4. A smart, sustainable rebalancing approach.
  5. Reduction of tax liabilities through charitable giving, Roth conversions, strategic Social Security timing, and more!
  6. A tax-efficient IRA funding strategy.


In addition, they adopted a user-friendly personal finance website to help them organize their financial affairs and gain a clearer understanding.

Now, with a well-defined financial plan in place, Bob and Sarah enjoy the clarity of confidence that accompanies financial clarity.

With newfound energy and mental space, they can continue to focus on the aspects of life that bring them joy—confident in the knowledge that they can choose to retire whenever the moment feels right.

NOTE: THE ABOVE CASE STUDY IS HYPOTHETICAL AND DOES NOT INVOLVE AN ACTUAL DEFINE FINANCIAL CLIENT. NO PORTION OF THE CONTENT SHOULD BE CONSTRUED BY A CLIENT OR PROSPECTIVE CLIENT AS A GUARANTEE THAT HE/SHE WILL EXPERIENCE THE SAME OR CERTAIN LEVEL OF RESULTS OR SATISFACTION IF DEFINE FINANCIAL IS ENGAGED TO PROVIDE INVESTMENT ADVISORY SERVICES.