Integral elements in developing the Investor/Investment Adviser relationship is good communication and documentation. For the Investor, it is imperative the Investment Adviser will listen and advise based on both the financial and emotional needs of the Investor. For the Investment Adviser, it is imperative the Investor will be receptive and open-minded to the recommendations of the Investment Adviser.
To facilitate the start process, the Investor will need to provide detailed documentation regarding their personal and financial status, portfolio and risk assumptions, and behavioral finance positions. Although time consuming, these documents provide the Investment Adviser a sound basis from which to know and understand the Investor.
Please select the following blue links to view these documents:
Client Detailed Personal Data Questionnaire PDF
Client Behavioral Finance Questionnaire PDF
Client Portfolio & Risk Questionnaire PDF