Industry regulations require that advisors update clients’ personal info and investment profile at least every 3 years.
This is for our accountability as advisors, so that our investment recommendations are always based on an up-to-date understanding of your situation.
Please provide answers to the questions below. This allows us to come to our upcoming meeting with the paperwork pre-filled, which allows us to focus the conversation on delivering value.
Key notes:
Spouses should each fill out this form individually.
If your answer to a question is the same as it was 3 years ago, you can leave it blank. If unsure, please fill in.
Dollar amounts can be rounded / estimated.
You will be asked if you, a family member, or a close associate are politically exposed or the head of an international organization. This question is required by Anti-Money Laundering legislation. Please refer to the official definitions of all these terms HERE.
