Forms Library

New Client Questionnaire Form is for prospective clients to provide Richard Brothers Financial Advisors with detailed information so that we can get to know your unique financial situation. Most of the form will need to be completed before or soon after the first meeting.

Allegiance Capital, LLC New Account Form is completed to open a new account. Allegiance Capital, LLC is our Broker/Dealer to support the needs of Richard Brothers Clients. The primary clearing firm and custodian that supports Allegiance Capital, LLC is Pershing, LLC.

Allegiance Capital, LLC Transfer of Assets:
Please complete this form in order to transfer cash and securities from an existing brokerage firm account(s), trust companies or custodians to Pershing, LLC.

ProCash Plus Account: This form is used to apply for opening a ProCash Plus Account.

IRA Distribution Form: This form requests a distribution from an IRA account. All IRA participants aged 70 1/2 or older are required to take distributions from IRA's (2009 tax year is exempted). This form is used to fulfill minimum requirement distributions.

Statement Link Form: This form is used to consolidate all your account statements into one mailing.

IRA Change of Beneficiary Form: This form is used to change your beneficiary.

Form ADV Part II: This part of Form ADV provides information about the investment adviser and its business operations and is for the use of clients. The information has not been approved or verified by any governmental authority.

Resource Checking Document: Resource Checking is the name of the checking account that can be linked to your Allegiance Capital account.