Broker Check

Documents Needed

We maintain a client file for everyone we serve. These documents are needed to build your financial plan and provide exceptional advice. We recommend updating your file yearly.


  • Bank statements
    • Checking, savings, CDs, and money market accounts
  • Investment statements
    Brokerage accounts, retirement accounts, annuities
  • Pension Estimates
  • Equity compensation
  • Grant statements with vesting schedules and owned share lots
  • List of assets
  • Any other items of value which are not included on account statements (e.g. home value)


  • Mortgage Information
    • Original balance, current balance, interest rate, loan term, principal and interest payment
  • Other loan information
    • Student loans statements, outstanding credit card balances


  • Life, Disability Income, Long-term care insurance
    • Recent statements and in-force illustrations
  • Property & Casualty Insurance
    • Declaration pages for your home, auto, boat, jewelry, umbrella
  • Estate Documents
    • Wills, healthcare directives, power of attorney, and trusts
  • Health insurance statements
  • Legal Agreements
    • Divorce decrees, separation agreements, and prenuptial agreements


  • Recent tax return with all schedules and statements
  • Social Security statements
  • Most recent paystub or W2/1099


  • Monthly average spending figure however you track them (e.g. Mint, back of the envelope calculation)