# How financial advisors request an investment statement from clients

Source: https://dokutrak.com/requests/financial-advisors/investment-statement
Author: Arthur Teboul, DokuTrak
Published: 2026-11-07
Language: en-US

> Ask each new client for the most recent statement of every investment account they own: brokerage accounts, IRAs, Roth IRAs, annuities, and old 401(k)s still sitting with former employers. Ask for the full statement, every page, not a balance screen. The account number and registration printed on it are what you copy onto the transfer paperwork.

## Why financial advisors need an investment statement

The statements show holdings, cost basis where the custodian tracks it, and the type of each account, which together shape the plan: what can move without a tax bill, what sits in pre-tax money, and where positions overlap. They are also the source for transfer forms. A transfer request usually needs the account number and the exact registration as printed by the current custodian, and a mismatch tends to send the request back.

## What exactly to ask for

The latest statement for each account, all pages, including the holdings detail and any cost basis or unrealized gain section. For employer plans, ask for the latest quarterly statement from the plan website, including every former employer’s plan the client has not rolled over. Ask the client to list every account first, so you can count statements against that list.

## What to check when it arrives

- The owner and registration (individual, joint, IRA, trust) match the account you will open on your side.
- The statement is recent and shows the full account number, or the client gives you the masked digits separately.
- Cost basis is reported for taxable holdings, or marked as missing, so you know what a sale would mean before planning one.

## Email to send your client

Subject: Your account statements for our first meeting

```text
Hi [Client name],

Thank you for choosing to work with me. To build your plan I need the most recent statement of every investment account you have: brokerage accounts, IRAs, annuities, and any 401(k) still at a former employer.

Please download the full PDF statement from each website, every page, rather than a screenshot of the balance. The holdings and account details on the inner pages are what I use to set up any transfers.

Could you send them by [date]? If you cannot log in to an old plan, tell me the employer’s name and we will track it down together.

Best,
[Your name]
```

## Ask once. DokuTrak does the chasing.

- Your client uploads from one link, with no account and no password.
- Reminders go out on a schedule, by default 2, 5, 10 and 14 days after the request, until the file arrives.
- With AI review switched on in your workspace (it is off by default), each upload gets a first pass that flags a file that is not an investment statement or an unreadable or blurry scan. It says so when it is not sure.
- You accept every file or mark it for re-upload, and your client gets the note by email. The AI never accepts a file.

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