Forms & Literature

Tool 2-2-1 Ideal candidate profile

Help define and attract ideal candidates by aligning values, skills and culture to build a thriving, purpose-driven financial team. Part of the Build and lead a high-performing advisory practice course Details

Tool 2-2-2 Onboarding success map

Design onboarding that helps build culture, confidence and career vision—driving long-term impact and retention in financial practices. Part of the Build and lead a high-performing advisory practice course. Details

Tool 2-3 Compensation and incentives planner

Align compensation with performance to help drive growth, equity and retention through strategic incentives and regular review. Pa... Details

Tool 2-5 Team development planner

Map team strengths to growth goals with tailored plans that can help boost capability, engagement and strategic alignment. Part of the Build and lead a high-performing advisory practice course Details

Tool 2-6 Succession path planner

Clarify goals, assess readiness and map a succession path that helps preserve legacy, empower teams and ensure business continuity. Part of the Build and lead a high-performing advisory practice course. Details

Tool 3-2-1 Ideal client touchpointps

Design client touchpoints that help reflect your brand, deepen trust and deliver personalized value across every stage of engagement. Part of the Build and lead a high-performing advisory practice course. Details

Tool 3-2-2 Client onboarding roadmap

Guide clients through onboarding with a 30–60–90 day roadmap that helps advisors build trust, set goals and deliver personalized planning. Part of the Build and lead a high-performing advisory practice course. Details

Tool 4-1 SOP Builder

Standardize key processes with standard operating procedures to help boost efficiency, ensure consistency and strengthen client and team experiences. Part of the Build and lead a high-performing advisory practice course. Details

Tool 4-2-1 Internal comms planner

Plan internal communications that help align strategy, boost engagement and streamline updates across your financial advisory team. Part of the Build and lead a high-performing advisory practice course. Details

Tool 4-2-2 Leadership comms assessment

Assess and improve leadership communication to help build trust, align teams and lead with clarity, empathy and accountability. Part of the Build and lead a high-performing advisory practice course. Details

Tool 4-3 Roles and responsibilities worksheet

Clarify team roles to help optimize talent, delegate effectively and align responsibilities with growth and client service goals. ... Details

Traditional/Roth IRA Application (Digital)

IRA application with links to related forms.

For the hard copy version, see the Traditional/Roth IRA Application Booklet (Hard Copy).... Details

Transfer on Death (TOD) Registration Request

Non-retirement account transfer on death beneficiary designation form. Details

Transfer/Registration Change Request

This form can be used to transfer shares to a new or existing account, or to update the registration/owner(s) on an existing account. This form should only be used for non-retirement accounts. Details

UGMA/UTMA Successor Custodian Designation

Form used to designate a successor custodian for either an UGMA or UTMA account in the event that the original custodian resigns, ... Details

U.S. equity strategy guide (F-2 shares for mutual funds mentioned) (F-2 Share)

This piece functions as a menu of offerings for clients interested in U.S. equity strategies. It gives an overview of the characte... Details

U.S. equity strategy guide (A shares for mutual funds mentioned) (A Share)

This piece functions as a menu of offerings for clients interested in U.S. equity strategies. It gives an overview of the characte... Details

What We Know for Sure - Presentation

Uses stories from The ICA Guide to illustrate concepts and strategies that address many of the concerns today's investors may have. Details

2025 Midyear Outlook - Long-term perspective on markets and economies

The 2025 Midyear Outlook report features macro, equity, and fixed income themes from the perspectives of various Capital investmen... Details

2025 Midyear Outlook - Long-term perspective on markets and economies (No Funds)

The 2025 Midyear Outlook report features macro, equity, and fixed income themes from the perspective... Details