Private Client Strategies™ (PCS™) Request for Proposal

Private Client Strategies™ (PCS™) Request for Proposal
New or Existing Submission?
Date of Request

MonthDayYear
Requested Delivery Date*

MonthDayYear
Advisor Name(s)*
Advisor(s) Credentials
Client Name(s)*
Is this a Current Client of Yours?*

YesNo
Client(s) Age(s)
Provide Blank Paperwork with Proposal?*

YesNo
Provide Morningstar X-Ray in Proposal?*

YesNo
If yes:

X-Ray OnlyX-Ray & Detail Pages
Provide Transition Sheet in Proposal?*

YesNo
(Transition sheet details allocation & holdings change from any existing accounts to the proposed)
Account Registration Name*
Value of Assets to be Placed in Account*
Percentage of Total Client Net Worth Represented
Source of Funds
CashIn Kind Transfer
Income Needed?*

YesNo
Amount
Start Date
ex. 1/1/24, "Immediately"
Frequency
Time Horizon of the Portfolio (until depleted)

Short Term (1-4 Years)Intermediate (5-9 Years)Long-Term (10+ Years)
Select Most Appropriate Account Type*

QualifiedNon-QualifiedTrust
Tax Rates to be Assumed
Federal
State
Tax Sensitivity*

Taxable BondsMunicipal Bonds
State of Residency
Most Appropriate Portfolio Risk Tolerance**

Conservative¹ (0%-35% equity)Moderate² (36%-65% equity)Growth³ (66%-98% equity)
Specify Equity/Fixed Income Ratio: Equity / Fixed Income
*Default equity/fixed income ratios if not specified in IAR Instructions below: ¹- 30% equity/ 70% fixed income; ²- 50% equity/ 50% fixed income; ³- 70% equity/ 30% fixed income
Goals & Objectives of the Portfolio (Provide necessary details in boxes provided below)

Fee ConsciousBuy Individual EquitiesSeparately Managed Accounts (SMAs)Sector / Style FocusSocial MandateIncome FocusTax Loss Harvesting*
*Note: Client may experience capital gains or losses from tax loss harvesting request. Vicus Capital does not provide tax or legal advice.
Direct Indexing*

YesNo
Desired Sector / Style Focus*
Preferred Social Mandate Screening*

Full ESGESG TiltFull Faith BasedFaith Tilt
Capital Gains Budget: Initial: % Initial Budget Annual: % Annual Budget
Client Imposed Restrictions: (Please Note: Items in this section must be directed by the client; not the IAR)
IAR Instructions: (Please Note: Investment recommendations may require use of a non-discretionary contract. Vicus will incorporate IAR requests upon approval.)
Non-Discretionary Contract Required?

YesNo
Please upload any client statements or other applicable materials if needed.

Cancelof
Deliver Proposal to (Email Address)*
example@example.com
Deliver RFP Confirmation to (email):*
example@example.com
Upon clicking submit, a PDF copy of the PCS RFP will be sent to the Sales and Marketing Team at Vicus Capital. A PDF copy of the request will also be provided to the email entered into the "Deliver RFP Confirmation to:" field.
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