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 current Investment Status on the Opportunity’s 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.
To easily create a Proposal for an existing Client, open the Client on the Manage Clients > Dashboard and use the Action menu to start a new risk proposal. This will auto-create the opportunity and start the Risk Tolerance Questionnaire.
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 thetoggle in the upper right.
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, clickat the bottom of the page to continue to the Portfolio Builder.
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 clickat the bottom to continue.
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. Clickat the bottom to continue.
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 clickfor each Instrument in the portfolio.
Depending on the Instrument settings, the total allocation of the Instruments in an Asset Class will need to match the set Asset Class allocation.
Clickat the bottom to continue.
To enter Manual portfolio mode, disable thetoggle near the top.
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%.
Clickat the bottom to continue.
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 to be listed on the IPS:
When all the information is entered correctly, clickto select how to proceed with the proposal.
Once all the information for the proposal has been entered, you can preview, print, or email the IPS or jump straight to Account Opening.
Open an Account Online