The following process allows the Advisor to generate a proposal for a client, rather than the client generating the proposal themselves through the Client Portal. This can be done when an advisor is in direct communication with a client.
The process can be interrupted at any point and progress will be saved. Simply click the Investments Status line on the Opportunity row to resume.
A Proposal must be attached to an Opportunity. If you do not yet have an Opportunity created for the proposal, see Creating a New Opportunity.
The exact questions and order will be determined by the Questionnaire you selected to start from.
By default, the questions will appear in a single-page form. You can toggle to one at a time by disabling the
Progress and Results
As you enter answers, the Progress indicator in the upper right will show which questions have been answered. (All questions must be clicked to show as completed, even if the default answer is the correct one.)
The Recommended Allocation and Risk Tolerance will update automatically as the questions are answered.
Once all questions are complete, a PDF icon will appear by the Show All Questions slider. Click the icon to generate a printable form of the questions and responses.
Once all answers have been entered, click
The Portfolio Builder will begin pre-filled with the recommended Model based on the responses in the Risk Profile Questionnaire. The following options to continue are available, depending on the Model, Asset Class, and Instrument settings:
Simply review the allocations and click
Adjust the Total Assets
Adjust the total initial investment amount in the upper-right. After clicking away from the field, the proposed amounts will update. Click
Most Model setups will have the Instruments pre-filled. If not, you will need to use the drop-down at the top to select Instruments, enter a starting allocation, and click
Depending on the security settings, the total allocation of the Instruments in an Asset Class will need to match the set Asset Class allocation.
To enter Manual portfolio mode, disable the
You are now free to select any available Instruments from the drop-down, set an allocation, and add it to the portfolio. There are no limitations in this mode, so long as the total allocation of the Instruments equals 100%.
This page allows an Advisor to see the estimated fees that will be charged to the client and make adjustments if needed.
Generate Printable Report
Click the PDF icon in the upper left to open a printable version of the Fee Schedule in a new tab.
Click the Settings control to open various fee-based options.
You can add additional explanatory notes to this section by typing in the NOTES box at the bottom and clicking at the end of the line.
On the Additional Information page, you must select an Account Type and enter a valid Email address for the client to use in document delivery.
You may also add any of the following information:
When all the information is entered correctly, click
Once all the information for the proposal has been entered, you can preview the IPS, begin the signature process, or jump straight to Account Opening (getting signatures all at once at the end of the process).
Open an Account Online