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New Advisory Account Opening Documentation Checklist

New Advisory Account Opening Documentation Checklist

Checklist form for collecting the agreements, disclosures, suitability data, and identity verification items needed to open a new advisory account.

Checklist Overview

  • Client Name
  • Account Type
  • Submission Date
  • Prepared By
  • Packet Status

Agreements and Disclosures

  • Advisory Agreement Received
  • Fee Schedule Disclosed
  • Privacy Policy Acknowledged
  • Form ADV Part 2 / Brochure Received
  • Conflicts of Interest Disclosure Received
  • Client Signature Received on Required Agreements

Suitability and Profile Information

  • Primary Investment Objective
  • Risk Tolerance
  • Time Horizon (Years)
  • Liquidity Needs
  • Investment Experience
  • Special Instructions or Restrictions
    Use this field for any documented restrictions, preferences, or service notes relevant to the account opening.

Identity Verification

  • Government ID Verified
  • Address Verified
  • Tax ID Verified
  • Date of Birth Verified
  • Identity Documents Received

Missing Items and Follow-Up

  • Missing Items
  • Follow-Up Owner
  • Follow-Up Due Date
  • Notes
    Add brief notes about exceptions, clarifications, or next steps. Do not include unnecessary PII.
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