New Client Documentation & Compliance Checklist
To ensure the required client agreements, disclosures, client information, investment documentation, and custodial records are complete before advisory services, trading, or billing begin.
No account opening before required documentation is complete
No Schwab or other custodial account may be initiated, opened, or submitted until the applicable Ascent advisory agreement is fully executed, required RIA disclosures have been delivered, and required client profile/risk documentation is complete.
Save & Resume
This checklist can be split across people. Your work auto-saves in this browser as you go — if you're stepping away and someone else (or you, on another device) will finish it, download a progress file or email it directly to them.
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