Client Identification
Full legal name, date of birth or business EIN, government ID reference, and contact information to support identity verification and tie the signature to a specific person or entity.
Using a uniform Advisor Assist Template reduces ambiguity about responsibilities, preserves required disclosures, and creates an auditable record suitable for regulatory review. Consistency supports compliance with ESIGN and state e-signature frameworks while making each engagement easier to administer.
The template is commonly completed by licensed advisors and their administrative staff before a client engagement begins.
Departments across compliance, operations, and client service benefit from standardized fields and a clear signing sequence to reduce rework and support audits.
Typically prepares the template, confirms suitability and disclosures, and signs on behalf of the advisory firm; responsible for maintaining the advisor-side record and ensuring e-sign procedures meet ESIGN and state law.
Provides personal information, grants consent, and signs the document; must confirm identity and agree to receive records electronically when applicable under 15 U.S.C. ch. 96.
Full legal name, date of birth or business EIN, government ID reference, and contact information to support identity verification and tie the signature to a specific person or entity.
A clear description of advisory services, deliverables, and exclusions so both parties understand obligations and performance expectations during the engagement.
Precise fee structure, billing cadence, and any authorization for electronic payments or ACH debits to avoid disputes and support tax reporting where applicable.
Regulatory or firm disclosures such as conflicts of interest, privacy notices, and consumer-facing opt-in/opt-out language required by applicable law.
Explicit consumer consent statement to receive records electronically and any ESIGN consumer disclosure if the template is used for consumer-facing transactions.
Designated signature blocks, date fields, and an audit trail that records timestamps, IP addresses, and signer attribution for evidentiary support.
| Field | Configuration |
|---|---|
| Signer Order | Specify sequence: advisor then client |
| Authentication | Email link or SMS code; KBA for higher assurance |
| Retention Location | Designate secure cloud folder or ECM system |
| Notification | Enable email copies and completion receipts |
Ensure the eSignature platform supports required authentication, audit trails, and integrations with your CRM or document repository.
No fixed deadline; provide upon payer request to avoid backup withholding.
Recipient and IRS deadline is January 31 each year.
Paper filing by Feb 28; electronic filing by Mar 31.
Form 1040 due April 15, extensions to October 15 possible.
Retention typically measured from effective date or filing date.
| signNow | DocuSign | Adobe Sign | PandaDoc | HelloSign | |
|---|---|---|---|---|---|
| Starting Price | $8/user/mo | $15/user/mo | $14/user/mo | $19/user/mo | $15/user/mo |
| Free Trial | 7-day free trial, no credit card required | Varies by plan | Varies by plan | Varies by plan | Varies by plan |
| Bulk Send | Yes | Yes | Yes | Yes | No |
| Audit Trail | Yes | Yes | Yes | Yes | Yes |
| HIPAA Compliant | Yes | Yes | Yes | No | No |
| Envelope Cap | No envelope cap | 100 envelopes/user/year | Varies by plan | Varies by plan | Varies by plan |