| FORMS FOR THE REP TO COMPLETE: |
Submit To: |
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| 1: |
DWMIM Solicitor Application and Addendum A
(You only need to do this one time for all DWMIM business) |
DWMIM |
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FORMS FOR THE CLIENT TO COMPLETE:
You, the rep, will need to deliver DWMIM's ADV Part II with Sch. F to the client. (You have already satisfied this criteria if you have delivered a DWMIM Client Investor Kit - order one now.)
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| 1: |
DWMIM Client Profile and Investment Advisory Agreement |
DWMIM |
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| 2: |
Schedule A - This is the agreement on what the client pays total for the service. For example if you, as the solicitor, want to charge 50bps, then you'd fill in a total fee to the client of 1.25% (DWMIM: 75bps + solicitor's 50bps.)
Please note: DWMIM's fee is generally a flat fee of 75bps, but may alter for special strategies or for larger accounts. |
DWMIM |
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| 3: |
Addendum to DWMIM Investment Advisory Agreement- Required for Pershing custody only. |
DWMIM |
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| 4: |
Custodian (Pershing, Ameritrade, etc) new account form - (Get these directly from custodian) Choose a qualified or non-qualified form. Individual accounts do not need a Pershing new account form. |
Custodian, with a copy to DWMIM |
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| 5: |
Custodian transfer form - (Get these directly from custodian) This is for accounts coming from a different custodian. To open a DWMIM account at Pershing using funds from an existing Pershing account, click here. |
Custodian, with a copy to DWMIM |
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| 6: |
If Insurance Co, you'll need a new account form and most likely a Third Party Authorization form. (Get these directly from Insurance Co.)
See the DWMIM Approved Variable Annuity List to see form requirements and contact info. |
Insurance Co, with a copy to DWMIM |
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| 7: |
QA3 Preliminary Risk - (For any new client household through QA3. Get these directly from QA3.) |
QA3 |
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| 8: |
QA3 Suitability New Account - (For any new account through QA3. Get these directly from QA3.) |
QA3 |
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| 9: |
QA3 Investment Advisory Client Services Agreement - (For any new third party money management account through QA3. Get these directly from QA3.) |
QA3 |
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| 10: |
QA3 Independent Money Manager Program Fee Schedule - (For any new third party money management account through QA3. Get these directly from QA3.) |
QA3 |
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If you have any questions, please call Amy Venditti at
847-934-6262 x221 or amy@dwmim.com
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