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Financial advisor client intake form

What to ask a new client before your first meeting: who they are, who they share finances with, and the accounts they want you to manage, with a statement for each.

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12 questions and 2 documents. Free to print. As a link, 14 days free with no card.

New client onboarding

Who they are, their spouse or partner, and the accounts they want to move.

About you

Each person answers this for themselves: the client, and their spouse or partner too when you send it to them

  • Full legal name (required)

    Short answer

  • Email address (required)

    Email address

  • Mobile number

    Phone number

  • Date of birth

    Date

Work

Each person answers this for themselves: the client, and their spouse or partner too when you send it to them

  • Employer

    Short answer

  • Occupation

    Short answer

Identity

Each person answers this for themselves: the client, and their spouse or partner too when you send it to them

  • Photo ID (required)

    Document upload

    A driver’s license or passport is fine.

Your household

  • Marital status

    Choose one

    • Single
    • Married
    • Domestic partnership
    • Divorced
    • Widowed

  • Spouse or partner’s full name

    Short answer

    Asked only if the answer to “Marital status” is Married or Domestic partnership.

Accounts you would like us to manage

Brokerage, IRA, 401(k) or anything else you would like to move — add each one.

Add one for each account

  • Where it is held

    Short answer

  • Account type

    Choose one

    • Brokerage
    • Traditional IRA
    • Roth IRA
    • 401(k)
    • 403(b)
    • Other

  • Last four digits of the account number

    Short answer

    Only the last four. Never send the whole number here.

  • The most recent statement

    Document upload

    The latest month or quarter is fine.

Before we meet

  • Anything we should know before we meet

    A few sentences

Who uses it

When to send it

RIAs, CFPs and planners use this the day a prospect becomes a client. It gathers the details your paperwork needs before an account can be opened or moved, so the first real meeting is about their plan rather than their date of birth.

The accounts section repeats: a client lists each brokerage account, IRA or 401(k) they want to move, with where it is held, its type, the last four digits and the latest statement. Ask for the last four only. A full account number has no business in an intake form.

Tips

Getting it back complete

  • Ask for the latest statement for every account, not just a list. It shows the exact registration, the custodian and the holdings, which is what a transfer form needs.
  • Send it at least a week before the first meeting, and say why you need each thing. A client who knows what a document is for finds it faster.
  • Ask about a spouse or partner only when the client says they have one. A shorter form gets finished.
  • Keep the client’s completed copy with your onboarding records, with the date it came back.
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