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Forms

Information for Your Records

Forms

Form CRS

This document provides important information about our firm such as our services, fees, disclosures, and other information in a 2-page summary format.

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Firm Brochure

This brochure provides important information about our firm such as our services, fees, operations, disclosures, and other information.

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Privacy Form

This document provides information about our firm’s privacy policy, including our handling of client personal information.

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Other Forms

Forms

1. Client Basic Information

This form is where you can provide us with the basic information we need to open your account(s). Ask your advisor if you should complete this.

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2. Risk Profile

Use this form when opening a new account or updating your risk tolerance. You should complete one form for each account. Return both pages, not just signature page.

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3. Discretionary Advisory Agreement

Use this agreement to engage Values First on a discretionary basis when you initially become a client or when you are updating your agreement with us. Please complete and return the signature page and Exhibit A.

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4. Exhibit A of Discretionary Advisory Agreement

Use this exhibit when you wish to amend your previous Exhibit A instructions regarding your portfolio’s allocation. Please complete and return both pages.

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5. Non-discretionary, Non-supervisory Advisory Agreement

Use this agreement to engage Values First on a non-discretionary, non-supervisory basis when you initially become a client or when you are updating your agreement with us. Please complete and return page 7 (and page 9, if applicable).

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6. Non-discretionary Advisory Agreement

Use this agreement to engage Values First on a non-discretionary basis when you initially become a client or when you are updating your agreement with us. Please complete and return page 7 (and page 9, if applicable).

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7. Financial Planning Agreement

Use this agreement to engage Values First to develop a financial plan for you. Please complete and return page 5.

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8. Statement of Intention

Use this form if requested by your advisor.

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9. Defined Contribution Plan Advisory Agreement

Use this agreement to engage Values First as the adviser for your company-sponsored 401(k) and/or profit sharing plan. Please complete and return the signature page and all of Exhibit A.

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10. Trusted Contact Form

Use this form when adding or removing a trusted contact with our firm.

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