Advisory Account Review Form LF169

Advisory Account Review Form - LF169

IARs are required to perform a substantial review of each advisory client at least annually (once every 12 months). This form is used to document ongoing investment advice with clients regarding their advisory account(s) for the annual review requirement. Attach any supporting documents (e.g., written analysis) to this form if applicable. This form may be used to document meetings with clients utilizing all advisory platforms. This form is for advisory accounts only.
Account #
Branch #
FA #
Investment Advisor Representative
1. Client Information (Required)
Client Name
Account(s) Reviewed
Client Meeting Date

MonthDayYear
Date
Review Completed:
2. Advisory Review (Required)

Review each required topic. Indicate no change or changes made or proposed. If a change is made or proposed, provide a detailed explanation of the material changes, along with any other meeting details or recommendations made in the space provided below. Note: Changes made or proposed may require additional documentation
a. Reviewed Financial Status
a2. Provide detailed explanation of the material changes
b. Reviewed Risk Tolerance and Time Horizon
b2. Provide detailed explanation of the material changes
c. Reviewed Investment Objectives and Goals
c2. Provide detailed explanation of the material changes
d. Asset Allocation and/or Account Holdings
d2. Provide detailed explanation of the material changes
e. Reviewed Investment Policy Statement (if applicable)
e2. Provide detailed explanation of the material changes
f. Reviewed Investment Restrictions (if applicable)
f2. Provide detailed explanation of the material changes
g. Reviewed Investment Performance
h. Reviewed Trade Activity to determine whether advisory account continues to be appropriate
h2. Provide detailed explanation of the material changes
i. Miscellaneous Notes
Please upload any additional supporting documentation for any of the changes made

Cancelof
3. Advisory Services & Fee Acknowledgement (Required)

a. Review Investment Advisory Account Agreement and Current Advisory Fee*
a1. % Fee Reflected in Agreement
*If a change to a fee is proposed, a new Investment Advisory Agreement must be executed
a2. % Fee Being Charged
**Per LFAS Client Agreement, services covered by fee do not include financial planning or similar services.
b. Reviewed Services Covered by Advisory Fee
Investment Advisor Representative
By signing below, I represent that the information contained in this form is complete and accurate. In addition to the items noted above, I also represent that I have given the client the opportunity to ask questions regarding the account. Furthermore, based on the above and my client’s financial status, risk tolerance, investment objective, and goals, I hereby represent that the advisory account(s) remains appropriate and suitable for the client.
Investment Advisor Representative Signature
Date Completed

MonthDayYear
Date
I would like to save my progress and finish this form later.
Please hit submit to save progress. You will be emailed a link to edit the saved form.
Email the in progress form link to:
example@example.com
Investment Advisor Representative Email (to receive a copy of the completed form)
example@example.com
Assistant Email (to receive a copy of the completed form)
example@example.com
Please hit submit to send the completed form.
Should be Empty:

Advisory Account Review Form - LF169