New Client Documents

We have included details and links to several of our required or informational documents for new clients working with us. These documents do not include Charles Schwab and WMS Advisors’ forms and applications. Those documents are custom prepared and sent to you via DocuSign (or your preferred method).


  • Investment Advisory Agreement – If we are managing your investments, we’ll have you complete this agreement that outlines our services, fees, and other industry-required language. 
  • Financial Planning Agreement– If we are providing financial planning services to you, either one-time or ongoing, we’ll have you sign this agreement to engage with our firm. As with our Investment Advisory Agreement, this agreement outlines our services, fees, and other industry-required language. This agreement is typically customized based on your unique situation and needs.

  • Risk Profile Questionnaire - This questionnaire is designed to help us decide how to allocate the portfolio between different asset classes (i.e., stocks, bonds, cash) based on your investment goals/needs, time frame, risk tolerance, and overall financial situation.

  • Financial Planning Organizer – This organizer gathers most of the information we will need for financial planning. We will have you complete this organizer, along with the requested documents, and return back to us for our review and analysis. We will then coordinate a time to discuss our analysis with you in greater detail.

  • Schwab Account Servicing Guide - This guide is designed to provide additional information on some of the most common account servicing requests through us and Charles Schwab, our primary account custodian.

  • Trusted Contact – This document gives WMS permission to disclose information to an assigned trusted contact, which must be done with the client's written authorization.  This allows WMS to share information such as your account(s) details, confirmation of your contact information or to discuss your current health status.


Learn More

Do you have any questions? Are you ready to take the next step? If so, please click the link below to get started, and we’ll be in touch to schedule an introductory meeting.

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