Confidential Client Profile (AUM)

Confidential Client Profile (AUM)
Please complete the information requested below and on the following pages. If you are unsure of any information, please leave it blank. When finished, press SUBMIT.
Name (Primary)*

First NameLast Name
Date of Birth (Primary)
Phone Number (Mobile - Primary)*

Area CodePhone Number
Phone Number (Work - Primary)

Area CodePhone Number
Preferred Email Address (Primary)
example@example.com
General Investment Knowledge (Primary)
Name (Secondary/Spouse)

First NameLast Name
Date of Birth (Secondary)
Phone Number (Mobile - Secondary/Spouse)

Area CodePhone Number
Phone Number (Work - Secondary/Spouse)

Area CodePhone Number
Preferred Email Address (Secondary/Spouse)
example@example.com
General Investment Knowledge (Secondary)
Legal Address

Street Address

Street Address Line 2

CityState

Zip Code
Mailing Address (if different than legal)

Street Address

Street Address Line 2

CityState

Zip Code
Alternate / Seasonal Address (if applicable)

Street Address

Street Address Line 2

CityState

Zip Code
Would you like to add a "Trusted Contact" to your account Profile?

The answers provided here will help give an indication of which investment strategy may be appropriate for your current needs:
Assets under consideration:
Investment Objective
Investment Objective Definitions

1. Income with Limited Growth

Willing to accept limited risk to your investment principal in this account, even if it means that this account does not generate significant returns and may not keep pace with inflation. This objective generally focuses on the generation of current income.

2. Income with Moderate Growth

Willing to accept relatively low risk to your investment principal and will tolerate some volatility to seek a modest level of income and/or objective returns. This objective generally focuses on asset appreciation sufficient to offset inflation over time while also generating current income.

3. Growth and Income

Willing to accept moderate risk and volatility to your investment principal to seek higher returns. This objective generally targets a balanced asset allocation approach that seeks to provide growth potential and generation of interest or dividend income.

4. Primarily Growth

Willing to accept a relatively higher risk to your investment principal, including greater volatility, to seek higher returns over time. This objective generally targets growth of the portfolio, which may or may not focus on the generation of interest or dividend income.

5. Growth

Willing to accept significant risk to your principal to aggressively seek maximum returns. This objective generally seeks maximum growth potential or generation of income from equities or alternative investments. This long-term-oriented objective is typically invested almost entirely in equities/stocks, with the remainder, if any, in fixed income/bonds or alternative investments, but actual investment allocations will differ based on individual client goals, concerns, and market conditions.
Investment Purpose
Time frame: In approximately how many years do you expect to need this money?
Do you expect to withdraw more than 1/3 of the money in this account within 5-7 years?
Do you you have an emergency fund (ie: savings of at least six month's after-tax income?
If you expect to have other major expenses (such as college tuition, home repair or other large expenses, do you have a separate savings plan for these expenses?
Approximately what portion of your total investable assets is designated for this account?
Investable assets include your emergency fund, this account, bank accounts, retirement/401k assets, CDs, mutual funds, cash value life insurance, stocks, bonds, and investment real estate. Investable assets DO NOT include your principal residence or vacation home.

	High	Medium	Low	N/A or No Interest
Review & Analyze Employer Stock (Options/ RSUs/ESPP)
Analyze Investment Portfolio Risk/Return
Review Investment Expenses
401(k) / Qualified Plan Advice
College Education Funding / Planning
Estate Planning
Strategic Tax Planning
Life Insurance Review
Other Insurance Review (Health/LTC/P&C)
Real Estate & Property
Liability Review (Mortgage/Debt)
Organize & Digitize Financial Documents
Creating a total financial plan
Collaboration with other financial professionals (Tax/Estate/Insurance/etc.)
Cash Flow & Budgeting
Retirement Income Planning (Including Social Security Strategy)