Client Authorization

Whenever an advisor submits a new client fee schedule or modifies an existing client fee schedule, the client must provide authorization as described below.

Obtain authorization from an existing advisor client

  1. Submit a new or modified fee schedule for the existing client on the Client Fees page in Portal.
  2. Obtain the client's authorization in any of the following ways:
    • Print the fee schedule, have it signed by your client, and return it along with a current Government issued ID (passport, driver's license, etc.) to us for activation.
    • Click the Generate PDF for Current Fees button at the bottom of the Client Fees page to print it, then send to your client for signature. Your client can then send the signed PDF directly to us for activation at the address/Fax number indicated on the form.
  3. If the client does not want to submit the PDF, he or she can log into Portal and provide authorization online in the Pending Items section on the Portal Home page (blue bell icon in the top right corner).

Obtain authorization from a new advisor client

An advisor obtains authorization from a new client account as part of the client account invitation process, which begins on the CRM dashboard and selecting a contact.

  • Fully Electronic: The advisor or Fund Investment Manager specifies the monthly or quarterly limit and sends the invitation to their client(s). The client reviews and accepts the invitation electronically.
  • Semi-electronic: The advisor or Fund Investment Manager completes the fees section of the account application PDF by selecting the appropriate fee methodology (Monthly or Quarterly Invoicing) and specifying the limit. The advisor or Fund Investment Manager then prints the completed account application PDF and obtains client authorization (client signature) on the PDF and submits it to us at the address printed on the PDF.