| Available Online | Mailed to the Client | |
| RMDs | Yes, beginning of February | Depending on delivery preferences, they are mailed/emailed letters of their RMD amount beginning of February |
| 1099-R | Call for a copy - beginning of February | Depending on delivery preferences, they are mailed/emailed 1099s beginning of February |
| 5498 | Call for a copy- beginning of May | Depending on delivery preferences, they are mailed/emailed 5498s beginning of February |
| Financial Requests | - 2-3 business days |
| Non-Financial Requests (such as beneficiary changes or address changes) | - 3-5 business days for bene changes - 5 business days for addresses |
| Third Party Authorization | - 3-5 business days |
| Durable Power of Attorney | - up to 15 business days |
| Mutual | Client | Third Party Authorization | DPOA | |
| Beneficiary Change | No | Owners only on the website or via form | No | Depends on the roles and responsibilities listed in the DPOA legal document - Case by Case situation, however, everything must always be in writing from DPOAs. |
| Statement Preferences (mail or email) | Yes, however, to go from mail to Email, the client must already be registered on the website | Owners can call in | No | Depends on the roles and responsibilities listed in the DPOA legal document - Case by Case situation, however, everything must always be in writing from DPOAs. |
| Mutual | Client | Third Party Authorization | DPOA | |
Address | Can update verbally with LPOA on file | Owner can update verbally | No | They can make the update, however, DPOAs always have to put everything in writing. |
| Phone Number | Can update verbally with LPOA on file | Owner can update verbally | No | They can make the update, however, DPOAs always have to put everything in writing. |
Can update verbally with LPOA on file | Owner can update verbally | No | They can make the update, however, DPOAs always have to put everything in writing |
Mutual | Client | Third Party | DPOA | |
Distributions | This is contract specific, so call to ask. LPOA must be on file | Contract specific, so call to ask. | No | Written may be accepted, it depends on the roles and responsibilities listed in the DPOA legal document |
Contribution | This is contract specific, so call to ask. LPOA must be on file. | Contract specific, so call to ask. | No | Written may be accepted, it depends on the roles and responsibilities listed in the DPOA legal document |
Trading | This is contract specific, so call to ask. LPOA must be on file. | Contract specific, so call to ask. | No | Written may be accepted, it depends on the roles and responsibilities listed in the DPOA legal document |
Durable Power of Attorney Requirements | DPOA legal document only. Once received, they send it to their Legal Department for review and Legal will let them know if they need additional requirements. Keep in mind, Mutual has their own requirements that must be satisfied as well. |
ESignature accepted via DocuSign | No |
Original Death Certificates Required | Original death certificates required for accounts that are over $500k in value or if the decedent passes away in a foreign country. |