Investment Portfolio Allocation Change Request Form

Managing investment portfolio changes requires careful consideration of risk tolerance, tax implications, and regulatory compliance. This Investment Portfolio Allocation Change Request Form streamlines the entire process, giving financial advisors and wealth management firms a professional, secure way to handle client-initiated portfolio modifications.

Built specifically for financial advisors, wealth managers, RIAs, and investment firms, this template captures all essential information needed to process allocation changes while ensuring compliance with industry regulations. The form walks clients through risk tolerance verification, calculates potential tax implications, and collects the required signatures—all in one seamless experience.

Why Paperform is perfect for investment professionals: With SOC 2 Type II compliance and robust security features, Paperform gives you the trust and reliability your clients expect. The built-in calculation engine handles complex tax estimation logic, while conditional fields ensure clients only see relevant questions based on their specific situation. Connect the form to your CRM or portfolio management system via native integrations or Stepper to automatically route requests for compliance review and advisor approval.

Use Papersign to seamlessly convert approved allocation changes into formal investment policy statements or advisory agreements that require client signatures, maintaining a complete audit trail from initial request through final execution.

This template is ideal for independent financial advisors, wealth management firms, broker-dealers, family offices, and investment advisory practices looking to digitize their portfolio change request process while maintaining the highest standards of compliance and client service.