Forms and Paperwork Guide · 2020. 10. 6. · PCRA Accounts at Schwab Schwab Personal Choice Retirement Account Limited Power of Attorney Form (PCRA LPOA) n/a n/a. 3 of 5 Forms and

Discretionary Investment Management Agreement (“DIMA”)• Your customized DIMA can be found in your “non-customer contact” document vault.

• A DIMA needs to be completed and signed for each household in order to set up billing and households.

• Add the DIMA to the client document vault.

• Email [email protected] with client name to complete the set up.

Risk Tolerance and Investment Objective Questionnaire (“RIQ”)• An RIQ must be on file for each HH. RIQ’s should be reviewed annually at minimum.

• The RIQ can be found on the Resource Center or within Investment Proposals.

• A new RIQ is only needed if there are updates.

Investment Proposal• Generate proposal on the ChangePath platform.

• Upload signed proposal to invest funds into proposed model(s). Through the upload process, the signed proposal will be placed in the client document vault automatically.

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ChangePathRequired forms that must be saved in client document vault

Custodial Paperwork• See following pages for more information about custodial paperwork.

Forms and Paperwork Guide



Custodian (Schwab)All forms submitted to custodian must be saved in client document vault

Registration Type Schwab Required Paperwork

Schwab Optional Paperwork

Schwab Supporting Documents to Include

Individual

Joint Accounts

Estate

Custodial (UGMA/UTMA)

Account Application

Transfer of Account Form

Designated Beneficiary Plan Agreement (TOD)

MoneyLink (ACH)

Statement Bundling Letter of Authorization

Trade Confirmation Report Subscription

Statement of account transferring (Dated within 90 days)

Voided Check

Letters Testamentary (estate)

Personal TrustTrust Account Application


MoneyLink (ACH)

Trust Signature Card




Voided Check

Trust Documents (title page and signature pages/TCIP)

IRA

Rollover

Roth

SIMPLE

SEP

IRA Account Application


SEP Adoption Agreement Form

SEP Employers Agreement with Schwab Form

MoneyLink (ACH)

IRA Distribution Form




Voided Check

Inherited IRA, Inherited Roth

Inherited IRA Account Application


MoneyLink (ACH)

IRA Distribution Form



Decedent Name, SSN, DOB DOD, Acct#


Voided Check

CorporationsAccount Application for

Incorporated Organizations


Checkwriting and Visa Debit Card Application for

Organization Accounts

MoneyLink (ACH)



Voided Check

Two signatures of corporate offices required Corporate Resolution

NAICS code (www.census.gov/eos/www/naics/)

Sole Proprietorship

Limited Liability Company

Unincorporated Association

Account Application for Non-Incorporated Organizations


Checkwriting and Visa Debit Card Application for Organization

Accounts

MoneyLink (ACH)




Voided Check

Non-Incorporated Resolution

NAICS code (www.census.gov/eos/www/naics/)

Accounts already at Custodian

Limited Power of Attorney (LPOA) for IA n/a n/a

PCRA Accounts at Schwab

Schwab Personal Choice Retirement Account Limited Power

of Attorney Form (PCRA LPOA)n/a n/a



Custodian (TD Ameritrade)All forms submitted to custodian must be saved in client document vault

Registration Type TD Ameritrade Required Paperwork

TD Ameritrade Optional Paperwork

TD Ameritrade Supporting Documents to Include

Individual

Joint Accounts

Estate

Custodial (UGMA/UTMA)

Standard Account Application

Account Transfer Form

Transfer on Death (Non-Probate)

Move Money Advisor Authorization

Authorization to Household Statements

Checking/Debit Card Application


Voided Check

Copy of decedent’s death cert (estate)

Letter of Testamentary (estate)

Personal TrustPersonal Trust Account Application



Authorization to Household Statements

Checking/Debit Card Application


Voided Check

Trust Documents (title page and signature pages/TCIP)

IRA

Rollover

Roth

SIMPLE

SEP

IRA Account Application



IRA Distribution/Withholding Form


Voided Check

Inherited IRA, Inherited Roth

Beneficiary IRA Account Application



IRA Distribution/Withholding Form

Decedent’s Name, DOB, DOD, Acct#, Relationship to Decedent


Voided Check

CorporationsBusiness Account Application

Account Transfer FormMove Money Advisor Authorization


Voided Check

Corporate Resolution/Articles of Organization

Sole Proprietorship

Limited Liability Company

Unincorporated Association

Business Account Application

Account Transfer FormMove Money Advisor Authorization


Voided Check

Non-Incorporated Resolution/Articles of Organization

Accounts already at Custodian

Advisor Authorizations (Limited Power of Attorney) n/a n/a

Common Account Funding MethodsNon-Qualified• Personal Check

• ACH (Schwab MoneyLink/ TDA MoveMoney)

• Transfer of Account Form (Include current statement)

Qualified• IRA Contribution – Check or ACH from Client

• Direct Rollover (Plan administrator issues check made payable to custodian)

• Transfer of Account Form(Trustee to trustee transfers – Include current statement)

• 60-Day IRA Rollover (Schwab IRA Rollover Designation Form/TDA IRA Deposit Slip)

• Roth Conversion (IRA to Roth IRA)



Advisory services offered through ChangePath, LLC a Registered Investment Adviser.

[email protected] • F 913.661.118311460 Tomahawk Creek Pkwy, Suite 200 • Leawood, KS 66211

www.changepath.com • T 888.798.2360

Money Movement FormsSchwab

• MoneyLink – Establishes standing authorization to request checks, internal transfers, and/or ACH distributions. For outbound IRA distributions, an IRA Distribution Form is also required.

• IRA Distribution Form – Requests for distributions and withholding from an IRA.

TDA

• Move Money Advisor Authorization (includes IRA’s) – establishes a standing authorization to request checks, internal transfers, and/or ACH distributions.

• IRA Distribution/Withholding Form – Requests for distributions or withholding from IRA’s. This does not provide standing authorization to make changes. This form should be used if setting up automatic RMD distribution instructions.

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