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How do I document an initial and on-going review of a client's investments?

During the review, the financial advisor should consider synoptic and historical data as well as the following investment information:

  • Amount and description of investments
  • Categories of investments such as bonds, stocks, etc.
  • Types of investments within each category, such as industry groups for stocks
  • Cost basis of the investments
  • Market or appraised value at review date of the investments
  • Annual income from each investment
  • Yield at market of each investment
  • Rating of recognized financial service

Use the Prudent Investor Checklist to document your process.