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This form is intended for clients who wish to change the adviser(s) linked to their account(s) and specify the rights granted to the new adviser(s).

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How to fill out change of adviser authority

01

Obtain the Change of Adviser Authority form from your institution or organization.

02

Fill in your personal information, including your full name, student ID or account number.

03

Indicate the name of your current adviser who will be replaced.

04

Provide the name and details of the new adviser you wish to assign.

05

Sign and date the form to confirm your request.

06

Submit the completed form to the appropriate department or office (such as the registrar or academic affairs office).

07

Confirm receipt of the form and the status of your request.

Who needs change of adviser authority?

01

Students or clients who wish to change their existing adviser.

02

Individuals who feel their current adviser is not meeting their needs.

03

Those who have a new adviser assigned due to changes in staff or programs.

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What is change of adviser authority?

Change of adviser authority is a formal process that allows a registered investment adviser to notify the appropriate regulatory authority about changes in the designated individuals who are authorized to act on behalf of clients or manage client accounts.

Who is required to file change of adviser authority?

Registered investment advisers who have changes in their advisory personnel or authorized individuals are required to file a change of adviser authority to keep their registration records up to date.

How to fill out change of adviser authority?

To fill out change of adviser authority, advisers should complete the designated form provided by the regulatory agency, ensuring to provide accurate details about the adviser changing, including their qualifications and the reason for the change.

What is the purpose of change of adviser authority?

The purpose of change of adviser authority is to ensure that regulatory bodies and clients have the most current and accurate information regarding who is authorized to act on behalf of clients in investment decisions.

What information must be reported on change of adviser authority?

Information that must be reported includes the names of the advisers being added or removed, their professional qualifications, the reason for the change, and any relevant contact information.

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