Great Valley Advisor Group (GVA) requires specific forms for your office to make sure you are properly covered. From opening accounts to entering into relationships with centers of influence, it is important you have the correct forms on file. Our goal was to create a centralized location and overview of what forms to use AND when to use them. To access our most up-to-date forms, please click the link below:
Password: GreatValley888
As a reminder, the forms@greatvalleyadvisors.com mailbox is set up to receive documentation that requires a signature by the CCO or OSJ. All other documentation should be uploaded and stored within GVAs Online Portal (Salesforce) for review and recordkeeping purposes.
Items for upload may include, but are not limited to:
- Meeting Notes (must meet at least annually using approved form/topics)
- Financial Plans + Financial Plan Supporting Documentation (initial and ongoing meeting notes and documentation)
- Signed Investment Policy Statement (IPS)
- Third-Party Money Manager Documentation
* Please remember to keep a log of all checks received at your location along with a copy of the check. You may enter these under investments and financial plans within GVAs Online Portal.
All New and Existing Clients Must Receive the Following
- GVA Client Engagement Agreement Version 10
- GVA ADV
- Advisors ADV 2B
- Form CRS*
- *There are circumstances under which form CRS must be redelivered to existing clients; see the GVA Compliance Manual for specifics
- GVA Privacy Policy
LPL Financial
Must meet with all clients at least annually and document using the approved form.
| SWM / SWM II | GWP, OMP, MWP, PWP | FB401k - RPCP |
|---|---|---|
| Client Engagement Agreement | Client Meeting Notes | Providers Account Application |
| Investment Policy Statement (IPS) | Retirement Plan Consulting Services Agrement | |
| Client Meeting Notes | Payment Profile | |
| Must meet at least annually |
Additional Custodians & Fee-Based 401k’s
Must meet with all clients at least annually and document using approved form; please remember to keep a log of all checks received at your location along with a copy of the check.
Strategy Changes
Advisors must submit the following for any strategy changes
- Meeting notes*
- Updated CEA
- Updated F1-HYB
- Updated Proposal
- Updated and signed IPS**
RIA Only Advisors
- Meeting notes*
- Updated Proposal
- Updated and signed IPS**
*Meeting notes are only required for accounts that have a strategy change within the investment objective
**See above listing to view requirements by money manager/custodian
Please note that this information is property of Great Valley Advisor Group. It contains information and materials that are considered to be confidential and privileged. It is intended only for the review and use of the identified individual(s). Any reproduction, copying, or forwarding of this information shall result in legal action.
Last Update: October 2024
