1. The document is a client onboarding checklist that outlines 24 steps to open accounts and onboard a new client, including collecting paperwork and documents, creating client files, setting up accounts in various systems, notifying the client, and following up after account funding. 2. Key steps include collecting a completed client questionnaire, creating physical and electronic client files, preparing and sending advisory agreements and account opening paperwork to the client, setting up the new accounts in different systems after receiving signed forms back, and notifying various parties once assets have been received and reconciled. 3. Follow up tasks involve thanking the client, scanning paperwork, scheduling a post-onboarding meeting, and assigning the account in portfolio management systems.

1. CLIENT ONBOARDING CHECKLIST
DATE: _____________
NAME OF CLIENT: _____________________ APPROX. INVESTMENT: _________________
ACCOUNTS TO BE OPENED: PAPERWORK + Documents NEEDED:
Date Completed:

2. 1.) Laurie/Lou to give Judy a completed Client Questionnaire.
2.) Judy will start a manila file for new client/prospect and attach
the Client Onboarding Checklist to file.
3.) Create new client file on the S drive: Office – Individual Client
Folders – Client Folders. Make a FIDELITY PAPERWORK and IA
folder.
4.) Send Adriana contact info to put in mail chimp. Confirm new
client folder in RedTail.
5.) Prepare two Investment Advisory Agreements. Laurie to confirm
fee (S drive; office; new clients; advisory agreements)
6.) Go to WealthCentral and go to Services/New Account/set up/
Select the registration of account/ use information from the
Client Questionnaire to fill in the information on the form.
7.) Call/email client letting him/her know paperwork is ready to be
signed – How do they want it sent to them – email, mail or come
in to the office.
8.) Prepare a letter to client explaining in detail what needs to be
completed on the form and send with the paperwork.
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NOTES:

3. 9.) Scan and save all paperwork in the client folder on the S drive.
10.) When paperwork comes back from client – scan to S drive in the
FIDELTIY PAPERWORK folder then delete unsigned paperwork.
Let client know we received the paperwork. (keep file size under
10 KB)
11.) Send paperwork through Document submission to Fidelity.
12.) EDS work reference #
13.) When Fidelity confirms the account number – send client an
email letting him/her know that the account is set up and can be
viewed online at Fidelity.com.
14.) If a TOA was processed, check for the incoming assets.
15.) Reconcile assets in to statement.
16.) Let client know when assets have arrived.
17.) Let Lou and Laurie know assets have arrived.
18.) Put client on the active or MF list in Fidelity – hit SAVE.
19.) In Fidelity add short name as: Last name, First name.
20.) InBlack Diamond – assign account to a manager and a portfolio.
21.) Black Diamond – assign account to Catamount Managed
Portfolios – set up – edit/delete portfolios/ Choose Catamount/
add acct #
22.) Send a LLbean bag as a thank you along with a handwritten
thank you note.
23.) Scan original IA in client folder on S drive in the IAG folder and
a hard folder. Send one to client
24.) Two weeks after assets have arrived, schedule a meeting. Set up
reminder in RedTail.
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