✓ Saved on this device
Keller Investment Advisors

Client Intake

This gathers the up-front information we need to start working together efficiently — and if we build a financial plan, your answers flow straight into it. Estimates are perfectly fine; we refine the details together. Only the sections below apply to you.

How to complete & return this form

  1. Have rough numbers handy. Recent pay information, approximate account balances, and a monthly spending estimate cover most of it. Statements help but aren't required.
  2. Fill in what you can. Every field is optional except the few marked with *. Skip anything you're unsure of — leave a note in Step 6 instead.
  3. Your work saves automatically on this device. Watch for the green “✓ Saved” flash as you type. You can close this page and come back anytime on the same computer and browser — your answers will still be here.
  4. When you're done, click “Finish & Send to James” at the bottom of the page. It packages your answers and walks you through returning them in one or two clicks.
  5. Optional: use “Review Summary” first to see everything you entered on one page — you can print it or save it as a PDF for your records.
🔒 Privacy note: this form does not ask for Social Security numbers or account numbers — please never include them. Balances and estimates are all we need to build your plan.
💻 Please use a personal device: complete this form on your own computer, tablet, or phone — not a shared or public computer (like a library or hotel PC). Your in-progress answers are stored on whichever device you use.

1 Family & Personal Information

Basic information about you, your spouse/partner, and any dependents.

Client

Home Address street address please — no P.O. boxes

Co-Client / Spouse / Partner skip if none

Dependents & Other Family Members

Related Entities trusts, DAFs, charities — skip if none

Any trusts, donor-advised funds, family entities, or charities connected to your household.

2 Your Priorities

A quick picture of what you’re looking for — this shapes our first conversation.

In Your Own Words

2 Income

Salaries, self-employment, pensions, annuities, distributions, rental and other income — plus Social Security plans.

Income Sources

Social Security

4 Net Worth — Accounts, Properties, Loans & Insurance

Everything you own and owe. Recent statements help, but approximate balances are OK.

Bank & Investment Accounts

Real Estate / Property

Loans & Debts

Insurance Policies

Business / Other Assets

5 Expenses & Taxes

Average monthly living expenses — excluding mortgage/loan payments and insurance premiums already listed above.

Other Specific Expenses medical, alimony, etc.

6 Goals

Retirement plans plus anything else you want to fund — education, cars, vacations, weddings, gifts, legacy. Already retired? Just mark it below — no retirement age needed.

Other Financial Goals

Anything Else?

7 Account Setup Details for opening accounts at Schwab

If we move forward, accounts are typically opened at Charles Schwab. These details let us pre-fill your paperwork so account opening takes minutes, not days. Never enter Social Security or account numbers here — Schwab collects those later through its own secure system.

Account Holder

Co-Client / Joint Account Holder skip if none

Legal Address required by federal law — no P.O. boxes

Citizenship & Employment Status

Two Questions Required by Industry Regulations

Beneficiaries for IRAs & transfer-on-death

Trusted Contact recommended — cannot access your money

A person Schwab or James may contact if there are concerns about fraud or your wellbeing. They get no access to your accounts.

Source of Funds & Purpose required on Schwab applications

Trust Details only if opening a trust account

8 Documents only if requested

To open and fund accounts we sometimes need two items: a photo of your driver’s license and a voided check (for setting up bank transfers). Never send these by email or text.

  1. You may not need to send these at all. When accounts are opened through Schwab’s secure online process, you can verify identity and link your bank account directly with Schwab — James will tell you exactly which items, if any, apply to you.
  2. If an item is needed: photograph or scan it (driver’s license front; a check with “VOID” written across it), then click the button below — it opens the same encrypted, receive-only upload page as the form itself.
After uploading, you can delete the photos from your phone or computer for extra privacy.

🔒 How Your Information Stays Protected

A plain-English summary — ask James any time for the firm’s full written security overview.

1. The most sensitive numbers are never asked for. This form never collects Social Security numbers, government ID numbers, or account numbers. When accounts are opened, Charles Schwab collects those directly through its own secure, regulated system — they never pass through this form, email, or our website.

2. Your answers stay on your device until you choose to send them. Nothing you type here is transmitted anywhere automatically. The form saves only to the device and browser you are using.

3. Sending is encrypted the entire way. The secure upload travels over an encrypted connection (TLS — the same protection online banking uses) into the firm’s Microsoft OneDrive business storage, where every file is encrypted at rest with AES‑256, each file under its own encryption key, inside Microsoft’s audited data centers.

4. The upload page is receive-only. The link you are given can only accept files. It cannot be used by anyone to view, browse, download, or change anything.

5. Access is restricted and monitored. Only James can open the intake folder, sign-in is protected by multi-factor authentication, and account activity is logged and monitored for unusual access.

Client Intake Summary

Keller Investment Advisors · a summary of everything you entered. Use Print to save as a PDF.

Send your completed form

Or, three quick steps:

  1. Step 1: Click “Download my answers” below — this saves a small file, named , onto your device. Most browsers show it in a download bar right after, or you can check your Downloads folder.
  2. Step 2: Click “Open email to James” — a pre-addressed email will open in your mail program.
  3. Step 3: Attach the downloaded file to that email (drag it in, or use the paperclip 📎 button) and press Send. That's it!
✉ 2. Open email to James
Can't find the file you just downloaded?

On a Windows computer: open File Explorer and click Downloads on the left — or look for a small download arrow near the top-right of your browser window right after you click.

On a Mac: open Finder and click Downloads on the left — or click the download-arrow icon in Safari's toolbar right after you click.

On an iPhone or iPad: open the Files app, then tap Downloads (or On My iPhone → Downloads).

On an Android phone: open the Files app, then look for Downloads — or tap the notification that appeared right after you clicked "Download."

The file is named something like — look for your name in it.

If your email doesn't open automatically, simply write to James@KellerInvestmentAdvisors.com and attach the downloaded file. You can also print the summary and bring it to your meeting.