Checklist
New equity client onboarding. A structured intake is what separates advisors who catch problems early from advisors who inherit them later. Send this document request list to a new executive client before the first working meeting. The downloadable version is a fillable, unbranded PDF — the client types directly into the fields, and it carries your brand, not ours.
401(k) — most recent month-end statement Roth 401(k) 403(b) IRA (Traditional and/or Roth) Deferred compensation or pension DAF / charitable entities Children's accounts Family trusts Account balances: checking, savings, and CDs — holder, institution, balance Salary for each spouse/partner Bonus Equity-linked compensation Other recurring income sources Stock plan agreement Equity award grant notice(s) Offer letter Employee benefits guide / enrollment summary Summary plan description (SPD) Non-qualified deferred compensation plan document Employment contract / executive compensation agreement Most recent Form W-2 or pay stub Housing and utilities — electricity, gas, water, HOA dues, maintenance, security, cleaning, landscaping Communications and media — telephone, internet, TV / streaming, subscriptions and memberships Living costs — groceries, dining out, gasoline, clothing, travel, entertainment Insurance premiums — life, disability, auto Outstanding loans — mortgage, auto loans/leases, student loans, medical debt: principal, term, rate, monthly payment Credit cards with outstanding balances — issuer, cardholder, balance, rate, monthly payment All personal and investment real estate — address, description, ownership, cost basis, fair market value, amount owed Life insurance policies Disability insurance policies Personal & casualty insurance policies D&O insurance policies Most recent income tax returns Most recent gift tax returns Wills Revocable trusts Powers of attorney Living wills Healthcare proxies Family LLC / LP operating or partnership agreement Existing pre- and post-nuptial agreements Personal data sheet for each spouse/partner — name, date of birth, citizenship, occupation and title, employer Business address, phone, and email Home address, home phone, cell phone, and personal email Children — name, date of birth, partner/spouse name Opens the fillable, unbranded Executive Document Request List. Interactive fields and checkboxes — send it under your own firm's cover.
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© 2026 Advising Equity. Educational content, not tax advice.