Can the Soft Fact Find be signed electronically?

Yes. Electronic signatures are generally valid under the ESIGN Act (15 U.S.C. ch. 96) and UETA where adopted. Ensure you obtain affirmative consent for consumer-facing records and retain an audit trail with time stamp and signer attribution.

Do consumers require an ESIGN disclosure?

If the Soft Fact Find is consumer-facing and replaces a paper record, provide the ESIGN consumer disclosure explaining the right to receive paper and procedures to withdraw consent before signing electronically.

When is notarization required?

Notarization is typically not required for a Soft Fact Find itself but may be mandated if attached to legal documents (deeds, durable POAs). Check state rules for documents that require notary or witnesses.

How long should I keep signed fact finds?

Retention depends on purpose: follow IRS minimums (3 years) for tax records, 6 years for HIPAA-related records, and longer if state law or contract requires it. Maintain an audit trail for the entire retention period.

What authentication level is recommended?

Match authentication (email link, SMS code, KBA, or SSO) to the transaction risk. Use higher assurance (KBA or multi-factor) for high-value or identity-sensitive matters.

How do I correct or update a submitted fact find?

If edits are minor, create an amendment record with the signer’s electronic acknowledgement. For material changes, use a new form or a signed amendment to preserve a clear audit trail and version history.

Electronic Signature
Templates
Miscellaneous
Client Information Soft Fact Find

Client Information Soft Fact Find

This template is fully customizable. Edit the text, fill out the fields, and send it for signature. Give it a try!

Client Information Soft Fact Find

Recitals

WHEREAS, Client Name: seeks preliminary information collection and a non-binding assessment of needs and objectives from Advisor Name: ; and

WHEREAS, the information provided in this Soft Fact Find will be used by Advisor to prepare an initial evaluation and may form part of a subsequent engagement agreement effective on Effective Date: .

Client Details

Full legal name Date of birth Residential address

Phone

Email

Tax identification (SSN or Tax ID)

Entity Type / Status

Individual Joint Trust Corporation Other:

Primary Contact / Representative

Contact name Relationship to client Preferred contact method

Financial Snapshot

Approximate annual income (gross) Liquid investable assets Estimated total net worth (including primary residence) Primary bank or brokerage

Objectives, Time Horizon & Risk Tolerance

Client objectives (describe primary financial goals)

Risk tolerance: Conservative Moderate Aggressive

Expected time horizon for primary objectives

Current Arrangements / Advisors

Existing advisors, custodians, or professionals

Scope of Work

The Advisor will perform an initial assessment and provide advisory recommendations limited to the scope set forth below. This Soft Fact Find documents preliminary client information and sets expectations for a subsequent engagement.

Detailed scope (describe services to be provided)

Payment Terms

Client agrees to pay Advisor fees as set out below. All fees are exclusive of applicable taxes. Client shall remain responsible for taxes imposed on services or payments.

Fee amount (USD) Payment schedule Late fee / interest

Payments not received when due shall accrue interest at the rate specified above and Client shall be responsible for costs of collection, including reasonable attorneys' fees. Advisor may suspend services for non-payment following written notice and a reasonable cure period.

Term and Termination

This Soft Fact Find and any resulting limited engagement will commence on Start Date: and continue until End Date: , unless earlier terminated pursuant to this section.

Either party may terminate for convenience upon Notice Period (days): days' prior written notice. Termination for material breach is effective immediately if the breach is not cured within a reasonable cure period after written notice. Termination does not relieve Client of payment obligations for services rendered through termination date. Provisions that by their nature survive termination shall continue in effect.

Confidentiality

Each party shall keep confidential all non-public information disclosed by the other party in connection with this Soft Fact Find and shall not disclose such information except to employees, agents or subcontractors who have a need to know and who are bound by confidentiality obligations no less protective than those set forth herein. Confidentiality obligations do not extend to information that is or becomes publicly available through no breach hereof, that was already lawfully in possession of the receiving party, or that is required to be disclosed by law or judicial process (provided the disclosing party is given prompt notice to seek a protective order where practicable).

Governing Law

This Soft Fact Find and any related engagement shall be governed by and construed in accordance with the laws of the State of: , without regard to conflicts of law principles.

Entire Agreement

This document, together with any executed fee letter or engagement addendum expressly incorporated herein, constitutes the entire understanding between the parties with respect to the subject matter herein and supersedes all prior and contemporaneous agreements, proposals and communications, whether written or oral. Any amendment must be in writing and signed by both parties.

Client Certification & Consents

By signing below, Client certifies that to the best of Client's knowledge the information provided in this Soft Fact Find is true and complete. Client consents to Advisor's collection and use of the provided information for the purposes described in this document and authorizes Advisor to contact third parties as reasonably necessary to verify information. Client acknowledges that this Soft Fact Find alone does not create a fiduciary investment advisory obligation unless expressly set forth in a separate signed engagement agreement.

Client consents to electronic delivery of reports and disclosures:

Additional Notes

Signatures

Client:

By:

Date:

Advisor / Representative:

By:

Date:

What the Client Information Soft Fact Find Is and when it's used

The Client Information Soft Fact Find is a structured intake document used to collect basic personal, contact, and engagement details from a prospective or existing client. It captures identifying information, contact addresses, communication preferences, employment and financial summaries, preliminary needs or objectives, and optional consent statements for electronic communications. The Soft Fact Find is intended as an initial, non-binding record to guide subsequent interviews, formal proposals, or document preparation; it is not a substitute for formal legal agreements, certified financial statements, or notarized instruments.

Why a Soft Fact Find matters for compliant client intake

A well-designed Soft Fact Find standardizes data capture, reduces follow‑up questions, and creates an auditable intake record that supports downstream workflows and regulatory reviews. It helps firms minimize errors, accelerate onboarding, and document consent for electronic records where required by ESIGN or state law.

Teams and roles that commonly complete the Soft Fact Find

Front-office staff, client relationship managers, and intake specialists typically initiate the Soft Fact Find during first contact or pre-engagement screening.

Advisors and brokers collecting client profile details before a proposal
Healthcare intake teams gathering contact and consent metadata
Legal intake paralegals assembling initial matter details

Completed Soft Fact Finds are then reviewed by the appropriate subject-matter lead (advisor, clinician, attorney) and attached to the client file for compliance and follow-up.

Typical signers and who can approve the form

Primary Contact

A single authorized client representative who provides identifying information and gives consent for electronic communications. This person is responsible for verifying their own name and contact details and for confirming consent where ESIGN consumer disclosures apply.

Authorized Signatory

For organizations, an officer or delegated employee signs on the entity's behalf. The signer should have documented authority (board resolution, delegation letter) to bind the organization; mismatched authority may require follow-up or corporate proof.

Core components included in a professional Soft Fact Find

A professional Soft Fact Find balances brevity with enough detail to enable next steps. Key parts capture identity, contact, relationship context, confidentiality notices, initial risk or compliance flags, and signature/consent fields for electronic completion.

Identification

Full legal name, any DBA, date of birth or entity formation date, and government ID references if required for verification.

Contact Details

Primary and secondary phone numbers, email addresses, street address, and preferred contact method.

Engagement Purpose

Brief description of services sought, objectives, or transaction type to route intake to the correct team.

Regulatory Flags

Notes for AML/KYC, HIPAA sensitivity, high net worth status, or other compliance triggers guiding next steps.

Consent & Disclosures

ESIGN consumer disclosure where needed plus specific consent text for data sharing and electronic communications.

Signature Block

Designated signature and date fields for the client and a reviewer, with space for witness or notarization when required.

Required data elements to capture reliably

Full Legal Name: Enter exactly as on government ID

Date of Birth: MM/DD/YYYY format

Contact Address: Street, city, state, ZIP

Email Address: Primary electronic contact

Phone Number: Include country and area code

Consent Status: Yes/No for electronic records

Step-by-step: completing the Soft Fact Find

Follow a consistent sequence to reduce rework: gather documents, confirm identity, fill core fields, capture consent, and route for review and signature.

01

Gather documents: Collect IDs, proof of address, and any authorization letters
02

Enter core data: Populate name, contact, and engagement purpose with exact spellings
03

Record consents: Present ESIGN consumer disclosure and capture affirmative consent
04

Route and sign: Send to reviewer and obtain client signature electronically or on paper

Customize the online workflow for the Soft Fact Find

Configure fields, authentication, and routing to match your compliance and operational needs before sending the form to clients.

Field	Configuration
Required Fields	Mark name, email, and consent fields as required
Conditional Logic	Show specialist questions only when relevant
Authentication	Choose email, SMS code, or KBA per risk
Routing	Auto-send completed forms to reviewer or CRM

Typical routing: from client to completed file

A straightforward routing sequence helps ensure each Soft Fact Find is reviewed, approved, and stored with an audit trail.

Upload: Sender uploads the Soft Fact Find template
Assign fields: Place required and optional fields for client input
Send to client: Deliver via email link or secure portal
Archive: Store signed file and audit trail in records system

Digital signing and platform requirements

Choose platform settings that meet authentication, audit trail, and storage needs before distributing the form.

Authentication: Email, SMS, KBA or SSO options
Document formats: Support for PDF, DOCX, and HTML
Integrations: Connectors for CRM and storage systems

Ensure the selected solution supports ESIGN/UETA compliance, audit trails, and any industry-specific controls (for example, HIPAA BAA for healthcare workflows).

Timing considerations and retention triggers

Certain administrative and legal deadlines affect how you collect, file, and retain Soft Fact Find data; follow statutory retention and reporting rules when applicable.

W-9 Provision:

No filing deadline; provide upon payer request

I-9 Retention:

Retain 3 years after hire or 1 year after termination

Tax Return Retention:

Keep records at least 3 years from filing date

HIPAA-Related Records:

Retain 6 years from creation or last effective date

ESIGN Consent Records:

Keep consumer consent records for duration required by law

Common mistakes to avoid when preparing the Soft Fact Find

Entering informal or nickname variations that do not match government ID, causing verification failures and delays
Failing to obtain affirmative ESIGN consumer consent on consumer-facing matters, which can invalidate electronic record acceptance
Leaving conditional fields visible and blank instead of hiding them, producing inconsistent datasets and reviewer confusion
Not routing completed forms into the authoritative record system, which breaks auditability and retention compliance

Legal and operational risks from incorrect or missing data

Tax Reporting Risk: IRC §6721 penalties may apply

I-9 Penalties: Civil fines per 8 CFR §274a.2

HIPAA Exposure: Violation risk and BAA obligations

Contractual Gaps: Incomplete intake can void obligations

Identity Fraud: Mismatched IDs increase fraud risk

Audit Failures: Missing audit trail undermines compliance

Comparison: eSignature vendor pricing and basic capabilities

High-level vendor pricing and capability indicators to consider when choosing an eSignature platform for Soft Fact Find distribution and storage.

	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	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

Real-world examples of Soft Fact Find use

Two anonymized customer scenarios illustrate how a Soft Fact Find supports onboarding and recordkeeping.

Optica Ventures

Optica used a concise digital intake to capture investor contact and accreditation data swiftly

The team reduced follow-up calls by 40%
Completing structured Soft Fact Finds allowed faster qualification and smoother transition to formal subscription documents and compliance review.

Martin Properties

A real estate operator collected tenant contact, emergency contacts, and initial screening items online

The property manager used conditional fields for pet and vehicle data
This reduced move-in delays and created an auditable file linked to lease templates for execution.

Frequently asked questions and troubleshooting

Answers to common questions about completing, signing, and storing the Client Information Soft Fact Find.

Need help? Contact support

Can the Soft Fact Find be signed electronically?
Yes. Electronic signatures are generally valid under the ESIGN Act (15 U.S.C. ch. 96) and UETA where adopted. Ensure you obtain affirmative consent for consumer-facing records and retain an audit trail with time stamp and signer attribution.
Do consumers require an ESIGN disclosure?
If the Soft Fact Find is consumer-facing and replaces a paper record, provide the ESIGN consumer disclosure explaining the right to receive paper and procedures to withdraw consent before signing electronically.
When is notarization required?
Notarization is typically not required for a Soft Fact Find itself but may be mandated if attached to legal documents (deeds, durable POAs). Check state rules for documents that require notary or witnesses.
How long should I keep signed fact finds?
Retention depends on purpose: follow IRS minimums (3 years) for tax records, 6 years for HIPAA-related records, and longer if state law or contract requires it. Maintain an audit trail for the entire retention period.
What authentication level is recommended?
Match authentication (email link, SMS code, KBA, or SSO) to the transaction risk. Use higher assurance (KBA or multi-factor) for high-value or identity-sensitive matters.
How do I correct or update a submitted fact find?
If edits are minor, create an amendment record with the signer’s electronic acknowledgement. For material changes, use a new form or a signed amendment to preserve a clear audit trail and version history.

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