Useful Forms
Annual Review Checklist
You are able to keep annual client review notes in whatever format you would like to. We have captured and customized a version we think works well for most advisors. If you would like this futher customized, please let us know.
Authorization to Release Information
Working in collaboration with a client's CPA, Attorney, or other professionals can help you develop a better client experience, and help you integrate with your wider professional community. Have your clients sign this form to share information with these professionals or other individuals the client authorize.
Concentraded Position Letter
When a client wishes to hold a large portion of their account in one security, the firm requires extra documentation the client understands the risk. Have your clients sign this letter and keep it on file for your records. It may be asked for when transactions or holdings are reviewed.