Completing Your Account Opening Packet

Completing Your DocuSign Account Packet

A Step-by-Step Guide

Setting up a new investment account involves several important documents and signatures to ensure everything is compliant and aligned with your goals. In this guide, we’ll walk you through the process of completing a new Account Packet in DocuSign, including what to expect and how to navigate the forms confidently.

Watch this video to walk through the process

Completing Your DocuSign Account Packet: A Step-by-Step Guide - Watch Video

What’s in Your DocuSign Account Packet?

When you receive your new account packet via DocuSign, it may include several key documents:

Client Intake Form
Risk Meter and Investment Policy Statement – Signature required
FG Asset Management Advisory Agreement – Signature required
Custodian Account Opening Paperwork – Signature required
FG Asset Management ADV2A – For client records only; no signature required
FG Family Office Services ADV2A – For client records only; no signature required
Advisor’s ADV2B – For client records only; no signature required

Each of these serves a unique role in establishing your investment profile, custodian account setup, and compliance with fiduciary standards.

Accessing Your Packet

You’ll receive an email from Asset Support or possibly from Client Success, containing a secure link to your DocuSign documents.

Step 1: Start the Process

Click on the “Review Documents” button in the email to begin. DocuSign requires a two-step authentication process for your security:

Identity Verification – You may be asked to answer personal questions (e.g., vehicles you’ve owned, prior addresses).
Phone Verification – A code will be sent to your registered phone number. Enter and confirm the code to proceed.

Step 2: Advisor Review and Document Edits

Before the packet reaches you, your advisor will typically review and sign the necessary documents. Once it’s your turn:

Review the fields carefully.
If any details need updating, simply click into the editable fields within DocuSign to make corrections.
Fields highlighted in solid colors indicate required information. Be sure not to skip these, as they are essential for processing.

This section below will go over the forms you may find in the packet

Client Intake Forms

There are three different types of intake forms, but most often the Standard one will be used. Below are the sections and some imprtoant details about each section:

Primary Contact or Trustee Personal Information
Secondary Contact or Trustee Personal Information
Trust Information: Applicable if you have a trust account
Household Client Profile: The "Household Client Profile" section of the intake form is critically important for several reasons, as it serves as the foundation for aligning your financial portfolios. Below are some keep notes to understanding some important fields.
1. Time Horizon: Time horizon options range from immediate to long-term (10+ years). This helps:
  1. Align investment types with goals (e.g., short-term savings vs. retirement).
  2. Manage risk appropriately; longer time horizons can typically tolerate more market volatility.
2. Liquidity Needs: Understanding how important quick access to funds is enables better selection of investments:
  1. Clients needing high liquidity might avoid long-term or illiquid assets.
  2. Those with low liquidity needs can potentially pursue more aggressive strategies for higher returns.
3. Risk Tolerance Level (should align with your Risk Meter): The form offers a spectrum from Conservative to Aggressive:
  1. This determines portfolio allocation (e.g., stocks vs. bonds).
  2. Aligning risk preference with investment strategy is crucial for client satisfaction and long-term success.
  3. Helps advisors meet fiduciary duties by ensuring recommendations are suitable.
Household Investment Experience: Also critically important for aligning financial goals
1. Investment Objective: Choose the options that best align with your goals, you can choose multiple.
2. Investment Experience: Choose the option that best describes your experience with investments.
Affiliation Information: Required only IF either option applies
Trusted Contact: Optional, but highly suggested
Email Acceptance: Email address for document delivery
Beneficiaries Personal Information
Disclosures in regard to the details provided in this packet.
Client Acknowledgement that data provided is accurate.
Financial Advisor Acknowledgment confirming the Advisor of the account.

Risk Meter and Investment Policy Statement – signature required

Your Advisor will guide you through the Risk Meter to help you identify a risk level you feel confident and comfortable with.

Below is an example of what that may look like:

FG Asset Management Advisory Agreement – signature required

This agreement establishes the advisory relationship and specifies the management fees for your accounts.

Custodian account opening paperwork – signature required

Based on your account types, the number of accounts, and transfer information, some custodian documents may need your review and signature. Below is an example of what they may look like:

FG Asset Management and FG Family Office Services ADV2A, and Advisor’s ADV2B

For client records only, no signature required

What is an ADV?: ADVs are Brochure Supplements that provide detailed background information on the Individual investment adviser representatives (IARs) and the firm as a whole.

Step 3: DocuSign Completion

Once you’ve reviewed the document and completed all required fields, you can click 'Finish.'

If there is a secondary account holder, they will also need to complete this process before the DocuSign is finalized.
After all parties have signed, the document will be routed to the custodian for processing.

Need Assistance?

Completing your DocuSign Account Packet is an important first step in starting or updating your investment journey. The process is designed to be secure, thorough, and collaborative, ensuring that both you and your advisor are aligned on your investment profile.

If you have questions, you can contact the FG Client Success Team (CST) by calling (800) 588-3893, option 2, or by emailing clientsuccess@financialgravity.com. You can also use our public knowledge base to self-serve your needs by visiting: https://knowledgebase.financialgravityapps.com/home

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