Money In Preview (New & Existing Clients) Money In - Preview "*" indicates required fields Advisor Name* Casey Short Tony Rizzo Jay Beerley David McEntire Dan Thomas Contractor Name* Gwen Louie Karissa Smith Kathleen Lehmann Karen Schwager Kerynne Satterfield (Existing Accounts Only) Client Name/Names*Is this a new or existing client?* New Client Existing Client If existing account, please enter the last 4 digits of account numberIs this a new account or existing account?* New Account Existing Account Existing Account, we plan to LPOA Please enter the last four digits of account numberWhich custodian will receive funds? Charles Schwab with Provision Asset Charles Schwab with Gradient Insurance Carrier New Provision Asset IAA Acknowledgement I acknowledge a new PA IAA or IAA Addendum is required with this workflow seed. New Provision Asset IAA Acknowledgement I acknowledge a new PA IAA or IAA Addendum is required with this workflow seed. New Provision Asset IAA and Gradient Investments Contract Acknowledgement A new PA IAA or IAA agreement & GI Investment Proposal & Contract are required. New Provision Asset IAA and Gradient Investments Contract Acknowledgement A new PA IAA or IAA agreement & GI Investment Proposal & Contract are required. Is this a new or existing portfolio strategy? New Portfolio Strategy Existing Portfolio Strategy New Provision Asset IAA Acknowledgement I acknowledge a new PA IAA or IAA Addendum is required with this workflow seed. New Provision Asset IAA and Gradient Investments Contract Acknowledgement A new PA IAA or IAA agreement & GI Investment Proposal & Contract are required. Please note the portfolio strategy and the sleeve number, if applicableAccount Type* IRA Roth IRA Joint Individual Non-Qualified SEP Trust Inherited IRA Inherited Roth Business / Non-Profit Other D.O.L. Form Acknowledgement* I acknowledge that a D.O.L. form is required for qualified transfers and rollovers. This is a newly funded qualified account which does not include a transfer or rollover. Do we have a death certificate? Yes, it's in Redtail Yes, see notes No Death Certificate NotesBeneficiary* Beneficiary information is in Redtail Beneficiary information is on the Client Profile Please have the New Business Team collect information Driver's License* The Driver's License is in Redtail. The Driver's License is in Safe Text. The Driver's License has been uploaded to the secure server. Please have the New Business team get the DL from the client. Employment* Employment information is in Redtail. Employment information is on the Client Profile. Please have the New Business team collect data. Retired Type a Household Summary of All Accounts*Type a Summary of Just this Account*What is the total amount of money coming into this account?*Will this include an Internal Journal at Charles Schwab? Yes No ATTENTION! Any Journal requires an additional Money In workflow seed. Journal NotesWill funds pass through Charles Schwab to another custodian? Yes No ATTENTION! Any Pass-through requires an additional Money In workflow seed.Pass-through NotesTarget date of completion* MM slash DD slash YYYY Number of Incoming Transactions* One Transaction Two Transactions Three Transactions One Transaction One Incoming Transaction - Which Type? Transfer Rollover Direct Deposit Client will mail in a check Funds are already available at Schwab Client initiated transaction One Transfer - Full or Partial?* Full Transfer (ACAT if available) - Close Old Account Full Transfer (ACAT if available) - Keep Old Account Open Partial Transfer - Some Funds are Remaining Technical Transfer - Unique Liquidation Instructions One Rollover - Full or Partial?* Full Rollover - Close Old Account Full Rollover - Keep Old Account Open Partial Rollover - Some Funds are Remaining Technical Rollover - See Notes One Direct Deposit - Set Up A voided check has been uploaded to Redtail A voided check has been provided via Safe Text A voided check has been uploaded to the secure server Please request a voided check Though not preferred, client will add routing / account number Account is already linked. Will this be One Time or Recurring? One Time Recurring How Often? Twice a Month Monthly Quarterly Written client approval acknowlegement* I acknowledge I must get written client approval to move these funds. If client is mailing in check: I, the Advisor, will provide the client an address or FedEx label Please, New Business Team, provide the client an address or FedEx label If Client Initiated First Transaction ACH Personal Check Rollover / Pension Check Transfer Form Other One Transaction - Estimated Amount and Additional Notes*One Transfer/Rollover (Partial or Technical) - Estimated Amount and Special Instructions or Liquidation Steps*One Transfer / Rollover - Statement Location* The Statement is in Redtail. The Statement has been uploaded to the secure server. The Statement has been sent via Safe Text Please have the New Business team get the statement from the client. No Statement Needed For First Transaction (Transfer/Rollover) enter the last 4 digits of account number* Second Transaction Second Incoming Transaction - Which Type? Transfer Rollover Direct Deposit Client will mail in a check Funds are already available at Schwab Client initiated transaction Second Direct Deposit - Set Up A voided check has been uploaded to Redtail A voided check has been provided via Safe Text A voided check has been uploaded to the secure server Please request a voided check Though not preferred, client will add routing / account number Account is already linked. Will this second transaction be One Time or Recurring? One Time Recurring How Often? Twice a Month Monthly Quarterly Written client approval acknowlegement* I acknowledge I must get written client approval to move these funds. If Client Initiated Second Transaction ACH Personal Check Rollover / Pension Check Transfer Form Other Second Transfer - Full or Partial?* Full Transfer (ACAT if available) - Close Old Account Full Transfer (ACAT if available) - Keep Old Account Open Partial Transfer - Some Funds are Remaining Technical Transfer - Unique Liquidation Instructions Second Rollover - Full or Partial?* Full Rollover - Close Old Account Full Rollover - Keep Old Account Open Partial Rollover - Some Funds are Remaining Technical Rollover - See Notes Second Transaction - Estimated Amount and Additional Notes*Second Transfer/Rollover (Partial or Technical) - Estimated Amount and Special Instructions or Liquidation Steps*Second Transfer / Rollover - Statement Location* The Statement is in Redtail. The Statement has been uploaded to the secure server. The Statement has been sent via Safe Text Please have the New Business team get the statement from the client. No Statement Needed If second account is existing, enter the last 4 digits of account number* Third Transaction Third Incoming Transaction - Which Type? Transfer Rollover Direct Deposit Client will mail in a check Funds are already available at Schwab Client initiated transaction Third Transfer - Full or Partial? Full Transfer (ACAT if available) - Close Old Account Full Transfer (ACAT if available) - Keep Old Account Open Partial Transfer - Some Funds are Remaining Technical Transfer - Unique Liquidation Instructions Third Rollover - Full or Partial? Full Rollover - Close Old Account Full Rollover - Keep Old Account Open Partial Rollover - Some Funds are Remaining Technical Rollover - See Notes Third Transaction - Estimated Amount and Additional NotesThird Transfer/Rollover (Partial or Technical) - Estimated Amount and Special Instructions or Liquidation StepsThird Transfer / Rollover - Statement Location The Statement is in Redtail. The Statement has been uploaded to the secure server. The Statement has been sent via Safe Text Please have the New Business team get the statement from the client. No Statement Needed If client is mailing in check for third transaction: I, the Advisor, will provide the client an address or FedEx label Please, New Business Team, provide the client an address or FedEx label Third Direct Deposit - Set Up A voided check has been uploaded to Redtail A voided check has been provided via Safe Text A voided check has been uploaded to the secure server Please request a voided check Though not preferred, client will add routing / account number Account is already linked. Will this third transaction be One Time or Recurring? One Time Recurring How Often? Twice a Month Monthly Quarterly Written client approval acknowlegement* I acknowledge I must get written client approval to move these funds. If client is mailing in check for second transaction: I, the Advisor, will provide the client an address or FedEx label Please, New Business Team, provide the client an address or FedEx label If Client Initiated Third Transaction ACH Personal Check Rollover / Pension Check Transfer Form Other If third account is existing, please enter the last 4 digits of account numberInvestment Objective* Conservative Conservative Growth Balanced Moderate Growth Growth Time Horizon (in years)* 1 - 5 5 - 10 10 + Insurance Carrier*Insurance Product*Will this be for a Single or Joint Payout? Single Payout Joint Payout Name of Spouse*Spouse's Date of Birth MM slash DD slash YYYY Annuity Suitability ParagraphWill this be the Gradient Tilt or Another Portfolio(s)? Tilt Other Portfolio(s) What is the estimated amount for the Tilt? (this number represents 100% of the account)Gradient Tilt Risk Selection: Tilt Series Conservative Tilt Series Balanced Tilt Series Moderate Growth Tilt Series Growth How many sleeves are being invested with Gradient into this account?* One Sleeve at Gradient Two Sleeves at Gradient Three Sleeves at Gradient Sleeve A - Gradient Portfolio Selection G-50 - C G-50 - D G-50 - E Core Select Contrarian Choice G-33 G-40i Digital Discovery What is the estimated amount for Gradient Sleeve A?Sleeve B - Gradient Portfolio Selection G-50 - C G-50 - D G-50 - E Core Select Contrarian Choice G-33 G-40i Digital Discovery What is the estimated amount for Gradient Sleeve B?Sleeve C - Gradient Portfolio Selection G-50 - C G-50 - D G-50 - E Core Select Contrarian Choice G-33 G-40i Digital Discovery What is the estimated amount for Gradient Sleeve C?For this Gradient Account, do you want dividends and interest reinvested or sent to the client? Reinvest Dividends and Interest Send Dividends and Interest to the Client * Attention! Please submit an additional Money Out workflow seed.How many sleeves are being invested?* One Sleeve Two Sleeves Three Sleeves Will this account include Provision Alternatives at 1%?* Yes No What is the estimated amount for this sleeve?Your plan for the dividends and interest in this sleeve?* Reinvest Dividends and Interest Allow Cash to Accumulate for Reinvestment Strategy Allow Cash to Accumulate for Money Out* Money Out Workflow Seed Needed I acknowledge that a separate Money Out workflow seed needs to be submitted. Please submit additional detailsWill this two sleeve account include Provision Alternatives at 1%?* Yes No Will this three sleeve account include Provision Alternatives at 1%?* Yes No What is the estimated amount for Sleeve A?Your plan for the dividends and interest of Sleeve A?* Reinvest Dividends and Interest Allow Cash to Accumulate for Reinvestment Strategy Allow Cash to Accumulate for Money Out Money In Workflow Seed Acknowledgement I acknowledge a separate Money In workflow seed must be submitted. Money Out Workflow Seed Acknowledgement I acknowledge a separate Money Out workflow seed must be submitted. Sleeve A - Provision Fee Structure Provision Dynamic at 1.9% Provision Premier at 1.65% Provision Plus at 1.55% Provision Model at 1.35% Sleeve A - Provision Premier Portfolio Selection Zacks Income Investor Zacks Value Investor Zacks Home Run Investor Zacks Blockchain Sleeve A - Provision Plus Portfolio Strategy Faith ETF Plus Freedom ETF Plus State Street Active Plus Brinker Capital Active Income Plus Sleeve A - State Street Active Plus Risk Selection State Street Active Conservative Plus with 25% Alts. State Street Active Moderate Conservative Plus with 25% Alts. State Street Active Moderate Plus with 25% Alts. State Street Active Moderate Growth Plus with 25% Alts. State Street Active Growth Plus with 25% Alts. State Street Active Maximum Growth Plus with 25% Alts. Sleeve A - Faith ETF Plus Risk Selection Faith ETF Plus Moderate Conservative with 25% Alts. Faith ETF Plus Moderate with 25% Alts. Faith ETF Plus Moderate Growth with 25% Alts. Faith ETF Plus Growth with 25% Alts. Sleeve A - Freedom ETF Plus Risk Selection Freedom ETF Plus Moderate Conservative with 25% Alts. Freedom ETF Plus Moderate with 25% Alts. Freedom ETF Plus Moderate Growth with 25% Alts. Freedom ETF Plus Growth with 25% Alts. Sleeve A - Provision Model Portfolio Strategy Faith ETF Model Strive ETF Model State Street Active Model Precious Metals Three Year Bond Ladder BIL - T-Bill ETF Sleeve A - State Street Active Model Risk Selection State Street Active Conservative - 20/80 (%) State Street Active Moderate Conservative - 40/60 (%) State Street Active Moderate - 60/40 (%) State Street Active Moderate Growth - 75/25 (%) State Street Active Growth - 90/10 (%) State Street Active Maximum Growth - 98/2 (%) Sleeve A - Faith Model Risk Selection Faith ETF Moderate Conservative Faith ETF Moderate Faith ETF Moderate Growth Faith ETF Growth Sleeve A - Provision Dynamic at 1.9% Blended Best Black Box Trader Sleeve A - Strive ETF Model Series Selection Strive Global Excellence Series Strive American Excellence Series Sleeve A - Strive Global Excellence Series Risk Selection Strive Global Excellence Series - Conservative (40/60) Strive Global Excellence Series - Core (60/40) Strive Global Excellence Series - Aggressive (80/20) Sleeve A - Strive American Excellence Series Risk Selection Strive American Excellence Series - Conservative (40/60) Strive American Excellence Series - Core (60/40) Strive American Excellence Series - Aggressive (80/20) Strive American Excellence Series - Equity (98/2) Strive American Excellence Series - Equity Plus (98/2) What is the estimated amount for Sleeve B?Your plan for the dividends and interest of Sleeve B? Reinvest Dividends and Interest Allow Cash to Accumulate for Reinvestment Strategy. Allow Cash to Accumulate for Money Out. Money In Workflow Seed Acknowledgement I acknowledge a separate Money In workflow seed must be submitted. Money Out Workflow Seed Acknowledgement I acknowledge a separate Money Out workflow seed must be submitted. Sleeve B - Provision Fee Structure Provision Dynamic at 1.9% Provision Premier at 1.65% Provision Plus at 1.55% Provision Model at 1.35% Sleeve B - Provision Premier Portfolio Selection Zacks Income Investor Zacks Value Investor Zacks Home Run Investor Zacks Blockchain Sleeve B - Provision Plus Portfolio Strategy Faith ETF Plus Freedom ETF Plus State Street Active Plus Brinker Capital Active Income Plus Sleeve B - State Street Active Plus Risk Selection State Street Active Conservative Plus with 25% Alts. State Street Active Moderate Conservative Plus with 25% Alts. State Street Active Moderate Plus with 25% Alts. State Street Active Moderate Growth Plus with 25% Alts. State Street Active Growth Plus with 25% Alts. State Street Active Maximum Growth Plus with 25% Alts. Sleeve B - Faith Plus Risk Selection Faith ETF Plus Moderate Conservative with 25% Alts. Faith ETF Plus Moderate with 25% Alts. Faith ETF Plus Moderate Growth with 25% Alts. Faith ETF Plus Growth with 25% Alts. Sleeve B - Freedom Plus Risk Selection Freedom ETF Plus Moderate Conservative with 25% Alts. Freedom ETF Plus Moderate with 25% Alts. Freedom ETF Plus Moderate Growth with 25% Alts. Freedom ETF Plus Growth with 25% Alts. Sleeve B - Provision Model Portfolio Strategy Faith ETF Model Strive ETF Model State Street Active Model Precious Metals Three Year Bond Ladder BIL - T-Bill ETF Sleeve B - State Street Active Model Risk Selection State Street Active Conservative - 20/80 (%) State Street Active Moderate Conservative - 40/60 (%) State Street Active Moderate - 60/40 (%) State Street Active Moderate Growth - 75/25 (%) State Street Active Growth - 90/10 (%) State Street Active Maximum Growth - 98/2 (%) Sleeve B - Faith ETF Model Risk Selection Faith ETF Moderate Conservative Faith ETF Moderate Faith ETF Moderate Growth Faith ETF Growth Sleeve B - Strive ETF Model Series Selection Strive Global Excellence Series Strive American Excellence Series Sleeve B - Strive Global Excellence Series Risk Selection Strive Global Excellence Series - Conservative (40/60) Strive Global Excellence Series - Core (60/40) Strive Global Excellence Series - Aggressive (80/20) Sleeve B - Strive American Excellence Series Risk Selection Strive American Excellence Series - Conservative (40/60) Strive American Excellence Series - Core (60/40) Strive American Excellence Series - Aggressive (80/20) Strive American Excellence Series - Equity (98/2) Strive American Excellence Series - Equity Plus (98/2) Sleeve B - Provision Dynamic at 1.9% Blended Best Black Box Trader What is the estimated amount for Sleeve C?Your plan for the dividends and interest of Sleeve C? Reinvest Dividends and Interest Allow Cash to Accumulate for Reinvestment Strategy Allow Cash to Accumulate for Money Out. Money In Workflow Seed Acknowledgement I acknowledge a separate Money In workflow seed must be submitted. Money Out Workflow Seed Acknowledgement I acknowledge a separate Money Out workflow seed must be submitted. Sleeve C - Provision Fee Structure Provision Dynamic at 1.9% Provision Premier at 1.65% Provision Plus at 1.55% Provision Model at 1.35% Sleeve C - Provision Premier Portfolio Selection Zacks Income Investor Zacks Value Investor Zacks Home Run Investor Zacks Blockchain Sleeve C - Provision Plus Portfolio Strategy Faith ETF Plus Freedom ETF Plus State Street Active Plus Brinker Capital Active Income Plus Sleeve C - State Street Active Plus Risk Selection State Street Active Conservative Plus with 25% Alts. State Street Active Moderate Conservative Plus with 25% Alts. State Street Active Moderate Plus with 25% Alts. State Street Active Moderate Growth Plus with 25% Alts. State Street Active Growth Plus with 25% Alts. State Street Active Maximum Growth Plus with 25% Alts. Sleeve C - Faith ETF Plus Risk Selection Faith ETF Plus Moderate Conservative with 25% Alts. Faith ETF Plus Moderate with 25% Alts. Faith ETF Plus Moderate Growth with 25% Alts. Faith ETF Plus Growth with 25% Alts. Sleeve C - Freedom ETF Plus Risk Selection Freedom ETF Plus Moderate Conservative with 25% Alts. Freedom ETF Plus Moderate with 25% Alts. Freedom ETF Plus Moderate Growth with 25% Alts. Freedom ETF Plus Growth with 25% Alts. Sleeve C - Provision Model Portfolio Strategy Faith ETF Model Strive ETF Model State Street Active Model Precious Metals Three Year Bond Ladder BIL - T-bill ETF Sleeve C - State Street Active Model Risk Selection State Street Active Conservative - 20/80 (%) State Street Active Moderate Conservative - 40/60 (%) State Street Active Moderate - 60/40 (%) State Street Active Moderate Growth - 75/25 (%) State Street Active Growth - 90/10 (%) State Street Active Maximum Growth - 98/2 (%) Sleeve C - Faith ETF Model Risk Selection Faith ETF Moderate Conservative Faith ETF Moderate Faith ETF Moderate Growth Faith ETF Growth Sleeve C - Strive ETF Model Series Selection Strive Global Excellence Series Strive American Excellence Series Sleeve C - Strive Global Excellence Series Risk Selection Strive Global Excellence Series - Conservative (40/60) Strive Global Excellence Series - Core (60/40) Strive Global Excellence Series - Aggressive (80/20) Sleeve C - Strive American Excellence Series Risk Selection Strive American Excellence Series - Conservative (40/60) Strive American Excellence Series - Core (60/40) Strive American Excellence Series - Aggressive (80/20) Strive American Excellence Series - Equity (98/2) Strive American Excellence Series - Equity Plus (98/2) Sleeve C - Provision Dynamic at 1.9% Blended Best Black Box Trader What is the estimated amount for the Alternative Sleeve?Your plan for the dividends and interest of Alternative Sleeve? Reinvest Dividends and Interest Allow Cash to Accumulate for Reinvestment Strategy Allow Cash to Accumulate for Money Out Money In Workflow Seed Acknowledgement I acknowledge a separate Money In workflow seed must be submitted. Money Out Workflow Seed Acknowledgement I acknowledge a separate Money Out workflow seed must be submitted. Alternative Sleeve - Select Investor Level Mass Affluent Accredited Qualified Client Qualified Purchaser Mass Affluent: Investors must have either: (a) a net worth of at least $250,000 or (b) an annual gross income of $70,000 and a minimum net worth of $70,000.Accredited: A net worth more than $1 million excluding primary residence or an income greater than $200,000 (or $300,000 combined with spouse).Qualified Client: $1.1. million in assets under management with Provision Asset or a net worth of at least $2.2 million.Qualified Purchaser: An individual or family with more than $5 million in investable assetsINTERVAL FUNDSInterval Fund - AAIDX - Axonic Alternative Income Fund - Non-AccreditedInterval Fund - CCLFX - The Cliffwater Corporate Lending Fund - Non-AccreditedInterval Fund - CELFX - Cliffwater Enhanced Lending Fund - AccreditedInterval Fund - CPEFX - Cascade Private Capital Fund - AccreditedInterval Fund - CRDIX Apollo Diversified Credit Fund - Non-AccreditedInterval Fund - GRIFX - Apollo Diversified Real Estate Fund - Non-AccreditedInterval Fund - IRACX - CIM Real Assets and Credit Fund - Non-AccreditedInterval Fund - NAIFX - Nomura Alternative Income Fund - Non-AccreditedInterval Fund - NRSZX - NexPoint Real Estate Strategies Fund - Non-AccreditedInterval Fund - TAKNX - Carlyle Tactical Private Credit Fund - Non-AccreditedInterval Fund - TIPWX - BlueRock Total Income Real Estate Fund - Non-AccreditedInterval Fund - WPAFX - Willshire Private Assets Interval Fund - Non-AccreditedPREFERRED STOCKPreferred Stock - ExchangeRight Net Lease Preferred Equity Fund 6.5% - AccreditedPreferred Stock - NexPoint NREF Real Estate Finance 9% Series BPreferred Stock - NexPoint NXDT Diversified Real Estate Trust 9% Series BMUTUAL FUNDSMutual Fund - HHCZX - NexPoint Event Driven Fund - Non-AccreditedMutual Fund - HMEZX - NexPoint Merger Arbitrage Fund - Non-AccreditedINTERVAL FUNDS WITH ONE SOURCEInterval Fund w/ 1 Source - CPREX - Clarion R.E. Income Fund - Non-AccreditedSUBSCRIPTION FUNDSSubscription Funds I - FS Credit Real Estate Income Trust (>$50,000) - Non-AccreditedSubscription Funds M - FS Credit Real Estate Income Trust (<$50,000) - Non-AccreditedSubscription Funds - ExchangeRight Essential Income REIT Class I - AccreditedSubscription Funds - ExchangeRight Essential Income REIT Class ER - AccreditedPRIVATE PLACEMENT FUNDSPrivate Placement - Apollo Debt Solutions (BDC) - Non-AccreditedPrivate Placement - Ares Strategic Income Fund (BDC) - AccreditedPrivate Placement - CAIS Bridge Net Lease Income Fund, L.P. - Qualified PurchaserPrivate Placement - Carlyle Credit Solutions (BDC) - AccreditedPrivate Placement - Graham Alternative Investment Fund 1 (Non-Qualified) - AccreditedPrivate Placement - Graham Alternative Investment Fund 2 (IRA) - AccreditedPrivate Placement - Monroe Capital Income Plus (BDC) - AccreditedTENDER FUNDSTender Fund - ARES Private Market - Qualified ClientSleeve A - Investment Instructions*Sleeve C - Investment InstructionsSleeve B - Investment Instructions Δ « Back to Workflow Seeds
