Client Information Request - Example

This information request is an example for prospective clients only.

New clients will receive links to various questionnaires and details on how to share documents securely.

  1. Financial planning questionnaire

    • To collect details on your needs, goals and priorities

  2. Annual discretionary spending questionnaire

    • Instructions and tools to estimate your household’s discretionary spending

  3. Most recent financial account statements

    • Bank accounts (checking, saving, CD)

    • Investment accounts (mutual fund or brokerage, restricted stock, ESPP, ESOP, individual bonds, trust accounts)

    • Retirement accounts (IRA, 401k, 403b, SEP, deferred compensation, defined benefit pension)

    • Annuities (income, variable)

    • Custodial accounts (529s, UTMA/UGMA)

  4. Current employer retirement plan info

    • Investment options and stock option info

    • Retirement plan benefits, including employer match or contribution

  5. Most recent pay stub and W-2s or 1099s

    • Net income projections, if self-employed

  6. Policy documents for any life, disability, long-term care, umbrella, homeowners, renters, auto, and business-related insurance

  7. Real estate questionnaire

    • To collect details on your housing and real estate situation

  8. Financial goals questionnaire

    • To collect details on any short- and long-term financial goals, not included in discretionary spending

  9. Employee benefits document(s)

    • Info about employer-sponsored life, disability and health insurance, and retirement plans

  10. Loan/debt statements

    • Mortgage, HELOC, student loans, auto loans, credit cards (if outstanding balance)

  11. Social Security statement

  12. Most recent Federal and state tax returns

  13. Estate planning questionnaire and documents

    • To collect details on your current estate and incapacity plans

    • Last will and testament, health care proxy, financial power of attorney, trust documents