Money In Workflow Seed (New & Existing Clients) "*" indicates required fields Advisor Name* Casey Short Tony Rizzo Jay Beerley David McEntire Dan Thomas Client Name/Names* Is this a new or existing client?* New Client Existing Client Is this a new account or existing account? New Account Existing Account Existing Account, we plan to LPOA Type a summary of the money coming in and any special instructions*Target date of completion* MM slash DD slash YYYY Beneficiary* 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. Custodian / Carrier* Charles Schwab Charles Schwab with Gradient Insurance Carrier ATTENTION! Please complete Gradient's Portfolio Change RequestInsurance Carrier* Insurance Product* Please enter the last four digits of account number* Account Type* Individual Non-Qualified Joint Trust IRA SEP Inherited IRA Roth IRA Other D.O.L. FORM IS REQUIRED!!!* By checking this box I acknowledge that a D.O.L. form is required. Investment Objective* Conservative Conservative Growth Balanced Moderate Growth Growth Time Horizon (in years)* 1 - 5 5 - 10 10 + 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 Client initiated transaction 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 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. If Client Initiated First Transaction ACH Personal Check Rollover / Pension Check Transfer Form Other This Does Not Complete the Direct Deposit Transaction! Permission MUST be granted in writing* I acknowledge that I must get written client approval to move these funds in the future. 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 Transfer/Rollover (Full) - 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 If existing account, please 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 Client initiated transaction 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 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. If Client Initiated Second Transaction ACH Personal Check Rollover / Pension Check Transfer Form Other This Does Not Complete the Direct Deposit Transaction! Permission MUST be granted in writing* I acknowledge that I must get written client approval to move these funds in the future. 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 Transfer/Rollover (Full) - 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, please 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 Client initiated transaction 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. If Client Initiated Third Transaction ACH Personal Check Rollover / Pension Check Transfer Form Other This Does Not Complete the Direct Deposit For the Third Transaction! Permission MUST be granted in writing* I acknowledge that I must get written client approval to move these funds in the future. 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 Transfer/Rollover (Full) - Estimated Amount and Additional Notes*Third Transfer/Rollover (Partial or Technical) - Estimated Amount and Special Instructions or Liquidation Steps*Third 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 third account is existing, please enter the last 4 digits of account number* Will there be a passthrough? Yes No Passthrough InstructionsWill this include a journal? Yes No Journal InstructionsHow 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? This sleeve represents what percentage of the account? Do you plan to reinvest everything in this sleeve?* Yes Not applicable No reinvestment will be selected at this time. * * If no, please submit a separate workflow seed to outline your Money Out details.Will 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? Sleeve A represents what percentage of the account? Do you plan to reinvest everything in Sleeve A?* Yes Not applicable No reinvestment will be selected at this time. * * If no, please submit a separate workflow seed to outline your Money Out details.Sleeve A - Provision Fee Structure 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 State Street Active Plus Faith ETF 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 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 - Provision Model Portfolio Strategy State Street Active Model Faith ETF Model Sleeve A - State Street Active Model Risk Selection State Street Active Conservative State Street Active Moderate Conservative State Street Active Moderate State Street Active Moderate Growth State Street Active Growth State Street Active Maximum Growth Sleeve A - Faith Model Risk Selection Faith ETF Model Moderate Conservative Faith ETF Model Moderate Faith ETF Model Moderate Growth Faith ETF Model Growth What is the estimated amount for Sleeve B? Sleeve B represents what percentage of the account? Do you plan to reinvest everything in Sleeve B?* Yes Not applicable No reinvestment will be selected at this time. * * If no, please submit a separate workflow seed to outline your Money Out details.Sleeve B - Provision Fee Structure 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 State Street Active Plus Faith ETF 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 - Provision Model Portfolio Strategy State Street Active Model Faith ETF Model Sleeve B - State Street Active Model Risk Selection State Street Active Conservative State Street Active Moderate Conservative State Street Active Moderate State Street Active Moderate Growth State Street Active Growth State Street Active Maximum Growth Sleeve B - Faith Model Risk Selection Faith ETF Model Moderate Conservative Faith ETF Model Moderate Faith ETF Model Moderate Growth Faith ETF Model Growth What is the estimated amount for Sleeve C? Sleeve C represents what percentage of the account? Do you plan to reinvest everything in Sleeve C?* Yes Not applicable No reinvestment will be selected at this time. * * If no, please submit a separate workflow seed to outline your Money Out details.Sleeve C - Provision Fee Structure 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 State Street Active Plus Faith ETF 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 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 - Provision Model Portfolio Strategy State Street Active Model Faith ETF Model Sleeve C - State Street Active Model Risk Selection State Street Active Conservative State Street Active Moderate Conservative State Street Active Moderate State Street Active Moderate Growth State Street Active Growth State Street Active Maximum Growth Sleeve C - Faith Model Risk Selection Faith ETF Model Moderate Conservative Faith ETF Model Moderate Faith ETF Model Moderate Growth Faith ETF Model Growth What is the estimated amount for the Alternative Sleeve? The Alternative Sleeve represents what percentage of the account? Do you plan to reinvest everything in the Alternative Sleeve?* Yes Not applicable No reinvestment will be selected at this time. * * If no, please submit a separate workflow seed to outline your Money Out details.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 - IRACX - CIM Real Assets and Credit Fund - Non-Accredited Interval Fund - GRIFX - Apollo Diversified Real Estate Fund - Non-Accredited Interval Fund - NRSZX - NexPoint Real Estate Strategies Fund - Non-Accredited Interval Fund - TIPWX - BlueRock Total Income Real Estate Fund - Non-Accredited Interval Fund - IRACX - CIM Real Assets & Credit Fund - Non-Accredited Interval Fund - CCLFX - The Cliffwater Corporate Lending Fund - Non-Accredited Interval Fund - CRDIX Apollo Diversified Credit Fund - Non-Accredited Interval Fund - TAKNX - Carlyle Tactical Private Credit Fund - Non-Accredited Interval Fund - CELFX - Cliffwater Enhanced Lending Fund - Accredited Interval Fund - AAIDX - Axonic Alternative Income Fund - Non-Accredited MUTUAL FUNDSMutual Fund - HHCZX - NexPoint Merger Arbitrage Fund - Non-Accredited Mutual Fund - HMEZX - NexPoint Event Driven Fund - Non-Accredited INTERVAL FUNDS WITH ONE SOURCEInterval Fund w/ 1 Source - CPREX - Clarion R.E. Income Fund - Non-Accredited SUBSCRIPTION FUNDSSubscription Funds I - FS Credit Real Estate Income Trust (>$50,000) - Non-Accredited Subscription Funds M - FS Credit Real Estate Income Trust (<$50,000) - Non-Accredited PRIVATE PLACEMENT FUNDSPrivate Placement - Apollo Debt Solutions (BDC) - Non-Accredited Private Placement - Ares Strategic Income Fund (BDC) - Accredited Private Placement - Carlyle Credit Solutions (BDC) - Accredited Private Placement - Monroe Capital Income Plus (BDC) - Accredited Private Placement - Graham Alternative Investment Fund 1 (Non-Qualified) - Accredited Private Placement - Graham Alternative Investment Fund 2 (IRA) - Accredited Private Placement - CAIS Bridge Net Lease Income Fund, L.P. - Qualified Purchaser TENDER FUNDSTender Fund - ARES Private Market - Qualified Client Sleeve A - Percentage of Account* Sleeve A - Investment Instructions*Sleeve B - Percentage of Account* Sleeve B - Investment Instructions*Sleeve C - Percentage of Account* Sleeve C - Investment Instructions*Annuity Suitability Paragraph Δ « Back to Workflow Seeds
