Know Your Client | Ascent Advisors

Know Your Client

Know Your Client Record

This short questionnaire helps us keep your financial profile and investment objectives current, so the advice and recommendations you receive stay suitable for your situation. It takes about 8–10 minutes.

Step 1 of 10 Client & Household

Client & household information

The basics we keep on file for your account.

Full legal name

Please enter your full legal name.

Date of birth

Please enter your date of birth.

Marital status

Please select a marital status.

Email address

Please enter a valid email address.

Phone number

Please enter a phone number.

Number of dependents optional

Employment & income

Helps us understand the source and stability of your income.

Employment status

Please select your employment status.

Occupation or prior occupation if retired

Employer optional

Annual household income

Please select an income range.

Primary source of income

Please select an income source.

Net worth & liquidity

Broad ranges are fine — we're gauging your overall financial cushion.

Total net worth Including home equity, retirement accounts, and other assets, minus liabilities.

Please select a net worth range.

Liquid net worth Cash, brokerage accounts, and anything convertible to cash within a few days.

Please select a liquid net worth range.

Do you have adequate cash reserves for an emergency?

Please select an option.

Any large cash needs in the next 12 months? optional e.g. home purchase, tuition, a major purchase

Investment objectives & time horizon

What you're investing toward, and when you expect to need the money.

Primary investment objective

Please select a primary objective.

Secondary objective optional

Primary time horizon When do you expect to begin drawing on these funds?

Please select a time horizon.

Do you have separate goals with different timelines? optional

Investment experience

Your familiarity with investing and different account types.

Years of investing experience

Please select a range.

Which of these are you familiar with? Select all that apply.

Have you invested through a significant market downturn before?

Please select an option.

Tax situation

Helps us weigh tax efficiency in our recommendations.

Tax filing status

Please select a filing status.

State of residence

Please enter your state of residence.

Approximate marginal federal tax bracket

Please select a bracket.

Is tax efficiency a priority for this account?

Please select an option.

Trusted contact person

Someone we can reach if we're ever unable to reach you, or have concerns about your account. Recommended, not required.

Name optional

Relationship to you optional

Phone optional

Email optional

Special circumstances

Anything else worth knowing that could affect what's suitable for you. All optional.

Health, upcoming life events, estate or legal matters, other advisors you work with, or anything else you'd like us to keep in mind optional

Risk tolerance on file

We track your risk tolerance separately from this form.

Has your risk tolerance changed?

If your comfort with investment risk, or your ability to take on risk, has shifted since your last assessment, retake the questionnaire so your file stays accurate.

Retake the risk assessment

Has anything changed in your life or finances that might affect your risk tolerance since your last assessment?

Please select an option.

Certify & submit

This record serves as your periodic recertification with Ascent Advisors.

Type your full name as your signature

Please type your full name to sign.

I certify that the information provided in this form is complete and accurate as of today's date, and I understand it will be kept on file to help ensure recommendations remain suitable for my situation.

Thanks — your record is on file

Your Know Your Client record has been submitted and a copy has been saved for your file. If anything material changes before your next check-in, reach out any time.

Know Your Client Record

Client & household information

Employment & income

Net worth & liquidity

Investment objectives & time horizon

Investment experience

Tax situation

Trusted contact person

Special circumstances

Risk tolerance on file

Certify & submit

Thanks — your record is on file

Let's figure out where you are and where you want to go.