Client Fee Adjustment Request Form
This form is for advisors to request a client fee waiver, refund, or other adjustment. Requests are reviewed internally to determine next steps based on documentation, compliance requirements, and platform policy.
Name
*
First Name
Last Name
Email
*
example@example.com
Affected client name
*
First Name
Last Name
Summary of the situation. What happened? What do you believe went wrong, and how do you believe the client was affected? Please describe in as much detail as possible.
*
What type of adjustment are you proposing? (Any fee reduction over $1,000 will be subject to additional compliance approval).
*
Waive next month's fees
Waive next quarter's fees
Reduce next fee by amount below
Other; please explain your proposal
Proposed amount to lower/reduce fee
When did this issue occur?
*
-
Month
-
Day
Year
Date
When did you become aware of this issue?
*
-
Month
-
Day
Year
Date
Do you have any documentation of what was expected vs. what occured? Examples: client emails, IPS instructions, meeting notes, screenshots.
Yes; attached below
No, I don't have any documentation.
Please attach your documentation here.
*
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