Managed Account Discretionary Trading Authorization

Streamline Managed Account Authorizations with Paperform

Setting up managed investment accounts requires clear communication of trading authority, investment objectives, risk tolerance, and fee structures. This Managed Account Discretionary Trading Authorization template helps investment advisors, wealth managers, and financial planners establish professional client relationships with comprehensive documentation—all through one intelligent, secure form.

Built for Investment Professionals

Whether you're a registered investment advisor (RIA), wealth management firm, asset manager, or independent financial planner, this template captures everything you need to establish discretionary trading authority. The form collects essential client information, investment objectives, risk parameters, trading restrictions, and fee acknowledgments in a clear, organized format that keeps everyone on the same page.

Traditional paper-based authorization forms create delays, confusion, and compliance headaches. Paperform transforms this critical onboarding step into a smooth digital experience that clients can complete from anywhere, while you automatically capture structured data that integrates with your CRM, portfolio management system, or compliance platform.

What Makes This Template Effective

This authorization form guides clients through a logical progression: personal and account information, investment objectives and time horizon, risk tolerance assessment, specific investment restrictions or preferences, performance fee structure acknowledgment, and final authorization signatures. Conditional logic ensures clients only see relevant questions based on their selections, creating a personalized experience without overwhelming detail.

The form includes multiple question types to capture different kinds of information effectively: text fields for account details, radio buttons for clear either/or decisions, checkboxes for investment preferences and restrictions, number fields for portfolio allocation percentages, and eSignature fields for legally binding authorization.

Automation That Saves Time and Reduces Risk

Once a client submits their authorization, Paperform can automatically trigger your next steps through Stepper (stepper.io), your AI-native workflow builder. Create workflows that send the signed authorization to your compliance officer for review, create a new client record in your portfolio management system, add the client to your CRM with their specific investment objectives and restrictions, notify your trading desk to begin implementing the investment strategy, and send the client a welcome packet with next steps.

These automations eliminate manual data entry, reduce the risk of transcription errors, and ensure nothing falls through the cracks during client onboarding. You can also use conditional workflows to route different account types through different approval processes—high-net-worth clients might trigger additional compliance reviews, while standard accounts flow straight through to implementation.

Professional Experience That Builds Trust

First impressions matter in wealth management. This template creates a polished, professional experience that reinforces your brand and builds client confidence. Customize the theme to match your firm's visual identity, add your logo, and adjust the color scheme to align with your website and marketing materials.

Clients receive immediate confirmation upon submission with a personalized success message, and you can automatically send a PDF copy of their authorization via email for their records. This transparency and attention to detail demonstrates the care and professionalism they can expect from your ongoing relationship.

Secure, Compliant Data Management

Investment authorizations contain sensitive personal and financial information that demands robust security. Paperform is SOC 2 Type II compliant with enterprise-grade encryption, ensuring client data is protected both in transit and at rest. You can configure data residency settings to meet regulatory requirements and set up role-based access controls so only authorized team members can view authorization forms.

Integration with Papersign (papersign.com) enables secure electronic signatures that meet legal requirements for discretionary trading authorizations, creating a complete audit trail of when and how clients granted authority. This digital signature process is faster and more secure than wet signatures while maintaining full legal validity.

Designed for These Investment Professionals

This template is ideal for:

• Registered Investment Advisors (RIAs) establishing discretionary management relationships with new clients
• Wealth managers at banks, broker-dealers, and independent firms onboarding managed account clients
• Financial planners offering investment management services alongside planning
• Asset managers launching separately managed account (SMA) programs
• Multi-family offices documenting investment authority for family members and entities
• Trust departments obtaining trading authorization from trustees and beneficiaries

Customize for Your Firm's Requirements

While the template includes standard authorization language and common investment objectives, you can easily adapt it to your firm's specific requirements. Add questions about ESG preferences, tax-loss harvesting preferences, or concentrated position management. Include firm-specific disclosure language, compliance checkboxes, or supplementary agreements. Adjust the fee structure section to match your billing model—whether you charge assets under management (AUM) fees, performance fees, or hybrid structures.

The form's conditional logic lets you create sophisticated branching based on account type, investor status (accredited vs. non-accredited), or investment strategy selection, ensuring each client sees only the most relevant questions for their situation.

Integration with Your Wealth Management Stack

Paperform connects seamlessly with the tools investment professionals rely on daily. Send authorization data to Salesforce, Redtail CRM, Wealthbox, or other financial services CRMs. Create new accounts in portfolio management platforms like Black Diamond, Orion, Tamarac, or AdvisorEngine. Log documents in SharePoint, Dropbox, or Box for compliance recordkeeping. Notify your team via Slack or Microsoft Teams when new authorizations arrive.

With Stepper workflows, you can orchestrate complex multi-step processes that span multiple systems, creating a seamless onboarding experience that would otherwise require hours of manual work.

Get Started in Minutes

This template is ready to use immediately with sensible defaults, or you can customize every detail to match your firm's requirements. No coding required—just click, edit, and publish. Whether you're a solo advisor or part of a large wealth management team, Paperform gives you the tools to create professional managed account authorizations that convert prospects into clients efficiently and compliantly.

Transform your managed account onboarding from a paperwork burden into a competitive advantage with Paperform's intuitive, secure, and automated authorization forms.