How to Conduct a Comprehensive Client Intake
- The Fiduciary Institute
- 2 days ago
- 6 min read
A Practical Guide for Professional Fiduciaries
A strong professional fiduciary practice begins long before a case is accepted. It starts at the very first interaction—the client intake process. A comprehensive intake does more than gather basic information; it evaluates readiness, identifies risks, clarifies authority, and determines whether you and the client (or referral source) are a good fit.
For many professional fiduciaries, intake is where clarity either begins or breaks down. When intake is rushed or inconsistent, problems appear later: muddled expectations, unclear authority, incomplete information, fee disputes, safety concerns, unmanaged liabilities, or cases that should never have been accepted in the first place.
At The Fiduciary Institute, we see the intake process as a cornerstone of The Fiduciary Method™—a structured, repeatable system that supports competent, ethical, and sustainable practice. When done well, intake protects your time, your business, and the people you serve.
This guide walks through how to conduct a comprehensive, practical, and legally sound intake for professional fiduciary work across roles such as guardianship, conservatorship, personal representative, trustee, agent under POA, and representative payee.
Why Intake Matters So Much in Professional Fiduciary Practice
Unlike many service professions, professional fiduciaries often step into complex, high-risk situations involving vulnerable people, money, property, and legal authority. A “simple” referral can quickly become anything but.
A well-designed intake process allows you to:
• Evaluate case fit – Do you have the right expertise, capacity, and risk tolerance for this case?
• Identify urgency and safety risks – Is there immediate danger to the person or estate?
• Clarify authority – What legal authority exists (if any)? What is needed next?
• Assess the referral source’s expectations – Are they realistic? Ethical? Aligned with your role?
• Reduce liability – Comprehensive documentation from the start protects you later.
• Build a professional reputation – A clear, thoughtful process signals professionalism, boundaries, and competence.
A strong intake process is not just administrative—it is core risk management.
The Three Stages of a Comprehensive Professional Fiduciary Intake
Most practitioners find that intake naturally breaks into three stages:
Pre-Intake Screening
Intake Interview
Decision & Next Steps
Below is a deep dive into how to structure each stage using a repeatable method.
Stage 1: Pre-Intake Screening
Before you schedule an intake interview, conduct a brief screening—10 to 15 minutes is often enough.
This stage helps you determine whether:
The case appears appropriate for your services
There is a clear request for assistance
Immediate safety concerns require urgent action
You should proceed to a paid consultation or full intake
1. Confirm the Referral Source and Purpose of the Call
Ask:
Who is calling, and what is their relationship to the potential client?
What prompted them to reach out?
What role are they asking you to serve?
Has anyone else been involved (attorneys, agencies, family members)?
Understanding the referral source helps you assess expectations and potential conflicts early.
2. Identify the Existing or Needed Authority
Never assume legal authority exists. Clarify:
Is there a court appointment?
Is there an active petition?
Is there a will, trust, or power of attorney already in place?
Are they asking you to petition or step into an existing role?
Professional fiduciaries must know exactly which authority they would hold, and when.
3. Screen for Red Flags
Common issues that warrant caution or may disqualify a case include:
Severe or unmanaged family conflict
Accusations of abuse or exploitation
Unclear or unstable finances
Active investigations
Unrealistic expectations
Unsafe living conditions or imminent harm
Requests outside your professional scope
Screening isn’t about saying “no” to everything—it's about understanding the landscape early.
4. Use a Pre-Screen Workflow to Save Time (Especially for Solo Practices)
Many professional fiduciaries — especially solo practitioners — find that pre-intake screening consumes a disproportionate amount of time. Repeating the same questions, chasing documents, and clarifying basic details can add up quickly.
This is where standardized workflows make a measurable difference.
The Partner Intake Form, part of the Toolkit Pre-Launch Kit, allows professional fiduciaries to automate and streamline the pre-screen process. Referral sources or families can submit structured information upfront, allowing you to identify red flags, understand the requested authority, and determine fit before you invest time in a full intake interview.
Solo practices in particular benefit from this “front door” automation because it preserves precious billable hours while creating a consistent, professional first impression for every inquiry.
5. Schedule an Intake Interview (or Decline)
If the case appears appropriate, schedule a full intake interview.If not, decline politely and, when possible, refer them to more appropriate resources.
Stage 2: The Intake Interview
The intake interview is where true assessment happens. This should be a structured conversation—not an unplanned Q&A.
The Fiduciary Method™ organizes intake across five pillars, which translate well into a practical interview structure.
Pillar 1: Authority & Scope of Practice
Clarify:
What authority exists now
What authority is needed
Who the legal players are
The expected scope of your role
Request review of:
Court orders
Petitions
Trusts, wills, POAs
Care plans
Prior reports
Authority determines your work. It must be clear from the start.
Pillar 2: Client & Asset Stewardship
For Person-centered roles (guardian-type work):
Current cognitive and physical status
Support system
Living environment and safety
Medical providers and medications
Cultural, personal, or behavioral considerations
Immediate risks
For Person-centered and estate-centered roles (conservator, PR, trustee, representative payee):
Assets and liabilities
Income sources
Benefits eligibility
Real property and valuables
Insurance policies
Debts and pending issues
Signs of financial exploitation
Remember: intake is assessment, not onboarding. You are determining whether the case is appropriate for you—not gathering full case details.
Pillar 3: Practice Operations & Case Management Fit
Evaluate your own ability to take the case:
Do you have capacity?
Do you serve the location?
Does this fit your expertise?
How intensive or urgent is the case?
Do your current systems support it?
Professional fiduciary work is demanding and high stakes. Case acceptance should always align with your operational readiness.
Pillar 4: Compliance, Ethics & Risk Management
Ask:
Are there allegations of wrongdoing?
Are APS or law enforcement involved?
Are family dynamics high-conflict?
Are there complex assets?
Is there risk of personal harm?
Are there conflicts of interest?
Document everything thoroughly.
Pillar 5: Growth, Professional Identity & Legacy
Intake is also where your professional identity is reinforced:
You set boundaries
You communicate expectations
You clarify your ethical role
You illustrate what a professional fiduciary is
This builds trust and establishes professional credibility.
Stage 3: Decision & Next Steps
After the intake interview, choose one of three outcomes:
1. Accept the Case
Provide:
Engagement letter
Fee schedule
Onboarding checklist
Next-step timeline
Document request list
2. Decline the Case
Do so professionally and succinctly. Offer referrals if appropriate.
3. Defer the Decision
You may need:
Additional documentation
Court action
Attorney involvement
Clarification from family
Document your conditions clearly.
Tips for Building a Strong, Repeatable Intake System
1. Use a Consistent Intake Form
Ensures a uniform process and reduces risk.
2. Separate Intake from Onboarding
This protects your time and keeps the process clean.
3. Document Intake Notes Immediately
Memory fades; documentation protects you.
4. Set a Standard Decision Timeline
For example, “We provide intake decisions within 48 hours.”
5. Create a Red-Flag List and Update It Regularly
Your risk tolerance evolves—your criteria should evolve with it.
Looking for Ready-Made Intake Tools?
If you’d like a structured intake and pre-screen process without building it from scratch, the Partner Intake Form, part of the Fiduciary Toolkit™ Pre-Launch Kit, provides a ready-to-use solution that integrates seamlessly with your workflow. In addition to the Pre-Launch Kit, The Fiduciary Toolkit™ also offers role-based template bundles, giving professional fiduciaries ready-made intake tools and templates tailored for guardianship, conservatorship, trustee, and personal representative roles.
These tools make it easy to triage referrals, document risks, and maintain consistent practice standards — especially helpful for solo or growing practices. Explore the full suite of resources on the Toolkit page to see how they can support your intake process.
Final Thoughts
A comprehensive intake process is one of the most powerful tools a professional fiduciary can develop. It protects clients, strengthens your practice, reduces risk, and ensures you accept only the cases that align with your expertise and operational capacity.
When built around The Fiduciary Method™, intake becomes more than information collection—it becomes a professional standard that elevates the entire field.
