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client onboarding checklist

Collect client contact information

Obtain client background and history

Identify client goals and objectives

Review and gather necessary documents

Verify client identification and address

Confirm client's financial statements and tax returns

Assess client risk tolerance and investment preferences

Determine client's time horizon and liquidity needs

Review client's investment knowledge and experience

Open client account with brokerage firm or financial institution

Transfer client assets as needed

Establish client account permissions and restrictions

Develop personalized investment strategy based on client goals

Determine asset allocation and investment vehicles

Implement investment strategy and monitor performance

Educate client on investment strategy and rationale

Provide ongoing updates and reports on portfolio performance

Review market conditions and potential impacts on client investments

Ensure all client agreements and disclosures are signed

Verify client's understanding of risks and disclosures

Comply with regulatory requirements and industry best practices

Schedule regular check-ins and reviews with client

Address any client concerns or questions promptly

Update client profile and documents as needed

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