Paperwork Requirements
Please consult the following lists to find the required paperwork for the appropriate account type.
New Account Forms
- CIA New Client - Investment Advisory Agreement Packet
- CIA Business Application – Investment Advisory Agreement Packet
- CIA Existing Client – Account Profile Packet
- Advisory Agreement
- CIA Standard of Conduct – Third Party
Account Opening Supplemental Forms
- Cape Annuity Acknowledgement Form
- Privacy Policy
- Schwab CIA ABP Addendum
- DOL Fiduciary Advice Exemption: PTE 2020-02
Account Maintenance