Client Information

The Client List page serves as the homepage to NaviPlan where all client creation and management is done.

Client List

Read the below sections for descriptions of each button available:

• Create New Client...: Opens the Create New Client pop-up, used for new client creation.
• Paper Fact Finders: Grants access to the various paper fact finders available for data collections.
• Morningstar Rate Disclosure: Grants access to the current disclaimer and list of asset allocation rates used in NaviPlan.
• Reassign Multiple Clients...: Used for granting other advisors in your firm access to clients. Useful for granting access for many clients at a time.
• Open: Opens the client's Plan List page.
• Link/Relink: Used for synchronizing 3rd party integrations with an existing client. For more information on integration setup, refer to the Settings & Assumptions page.
• Grant/Revoke: Used for granting other advisors in your firm access to a client.
• Reassign: Used for reassigning clients to other advisors in your firm.
• Data Scrub: In instances of technical support, NaviPlan's Client Support team might request a data scrub (a copy of a plan minus any client information). This button creates a downloadable version that can be sent to them.
• Notes: Used for adding personal advisor facing notes about a client for personal reference.
  • View All Notes: Opens a list of all notes for the specific client.

• Delete: Deletes the client from the Client List page.

  Note: All plan data must be deleted within a client before it can be deleted from the Client List page.

For clients with many client files, the search tool can be used to assist in the location and organization of clients.

Client List - Search

Search allows for location by:

• Last Name
• Client ID number

The Current User button only includes clients assigned to you.

The Other User button searches by clients granted to you by other advisors at your firm.

The Recently Modified button only includes recently accessed clients in search. Uncheck to include older clients.

The Include 'Granted Clients' button includes granted clients on both your search and your main existing clients' list.

You may include up to 100 clients in a search by entering the desired number in the Number of Results section.

To open an existing client file, follow these steps:

1. Under Search, you can search for other client files to which you have access. From the Search By menu, select Last Name or Client ID.
   • If you selected Client ID, enter the client’s ID number, and then click Search to continue. The clients appear in the client list.
     
   • If you selected Last Name, enter the client’s last name. You can also use wildcards (*) in searches, for example, “S*” to search for client files that start with “S.”
     
2. (Online only) To search for client files created by another user, select Other User, and then enter the username.
3. (Online only) To include clients belonging to other users or user groups for which you have access, select the Include ‘Granted’ Clients option.
4. To search only recently modified client files, select the Recently Modified option.
   • The number of clients shown can be adjusted by typing the desired number (with a maximum of 100) in the Number of Results entry box at the bottom of the search field.
5. (Offline only) To include clients that are checked in and clients that are stored locally, select Include ‘Central’ Clients.
6. Click Search. The list of clients updates.
7. Under Client Name, select the client file required, and then click Open.
   OR
   Click the link for the client file you want to open.

NaviPlan has a data-scrub function, which allows you to export and send client files to a third party without revealing sensitive client information. Client data such as net worth, cash flow, financial goals, and strategies are saved in exported client files, but personally identifiable data is stripped and replaced with generic values. You can safely store exported client files on a local or network drive, or even send these files by e-mail.

To prepare client files for delivery to a third party, follow these steps:

1. From the Existing Clients menu, select the option button for the client (do not click the link) for which you want to export information, and then click the Data Scrub button.
2. Click Save.
3. Select a location where you will save the client file, enter a unique name if required, and then click Save.

If the client file you wish to delete contains engagements, calculators, assessments, or plans, you must delete the calculators, assessments, or plans before you can delete the client file.

To delete a client file, follow these steps:

1. From the Existing Clients menu, select the option button for the client file you want to delete, and then click Delete.

2. If the client file you selected does not contain any assessments or plans, the file is deleted.
   

   Note: You cannot delete assessments or plans that are in Proposed, Approved, Delivered or Progress Delivered status.

To create a new client file without imported information, follow these steps:

1. Go to the Active Client – Client List – Clients page.

2. Click the Create New Client... button, select Client and plan creation and click Get Started.

3. On the Client Information page, enter basic client information such as name, date of birth, and city. Click Next.

   

   Client & Plan Creation dialog box – Client Information stage

4. On the Family Members page, enter the required family member information. Click Next.

   • Click Add Family Member to add a new data-entry row.

     

     Client & Plan Creation dialog box – Family Members container

   • To enter additional information for each family member, select the applicable button.
   • Family members entered here are automatically included as beneficiaries in the clients' estate.
5. On the Beneficiaries page, enter the required beneficiary information. Click Next.

   • NaviPlan automatically creates a beneficiary named Other that is neither an heir nor a charity, but accounts for the annual gift tax exclusion. You cannot delete or edit the Other beneficiary.

   • Enter additional beneficiaries who are not family members using the Add Beneficiary button.

     

     Client & Plan Creation dialog box – Beneficiaries stage

6. On the Advisor Information page, enter the required advisor information. Click Next.

   • Click Add Advisor to create a new data entry row.

     Note: The information entered in the User Preferences - Advisor Details dialog box automatically appears here.

     

     Client & Plan Creation dialog box – Advisor Information stage

7. On the Planning Type page, select either Guided Retirement or Traditional Planning. The remaining steps will be for Traditional Planning; refer below for steps on creating a Guided Retirement plan.

   

   Client & Plan Creation dialog box – Planning Type stage

8. On the Plan Selection, select an analysis type. Click Next.
   • If you select Asset Allocation, the Client & Plan Creation dialog box opens to the Assessment Setup stage.
   • If you select Forecaster Assessment, Level 1, or Level 2 the Client & Plan Creation dialog box opens to the Income Tax Method stage, where you can select an income tax method for the plan.

   • A description of the selected method appears on the right side of the dialog box.

     

     Client & Plan Creation dialog box – Plan Selection stage

9. On the Income Tax Method page, select an income tax method. Click Next.

   

   Client & Plan Creation dialog box – Income Tax Method stage

10. On the Asset Allocation Model page, select the asset allocation model you wish to use for the plan. If you are unsure which model is best for you, a description of each model can be found immediately to the right of the option in the Information section, click Next.

    

    Client & Plan Creation dialog box –Asset Allocation Model stage

11. On the Modules page, select which modules to include in the plan. The following modules are available when creating a Forecaster Assessment, Level 1 Plan, or Level 2 Plan:

    Module	Forecaster Assessment	Level 1 Plan	Level 2 Plan
    Asset Allocation
    Retirement
    Education
    Major Purchase
    Emergency Fund
    Survivor Income
    Human Life Value
    Disability Income
    Long-term Care
    Estate Planning
    Monte Carlo Analysis
    Detailed Cash Flow*
    Equity Compensation*
    Business Planning*
    Advanced Estate*

    *The Detailed Cash Flow module is automatically selected when you are using the Detailed Income Tax method. The Equity Compensation, Business Planning, and Advanced Estate modules are only available when you are using the Detailed Income Tax method.

12. Click Next. The Client & Plan Creation dialog box opens to the Summary stage. A summary of the client file and selected analysis appears.
13. Click Finish. NaviPlan creates the client file and an engagement containing a new analysis.

To setup a new client with a unique login for the client portal follow the below instructions:

1. In the Client List category, click Create New Client....

2. Select Collaborative client onboarding from the two options, and click Get Started.

   

   Create New Client pop-up

3. Select the analysis type (individual or joint), enter the client's names, a username and their email. Customize the welcome email if you wish, then click Next.

   

   Create New Client pop-up - Client Information

4. New clients will immediately be sent a financial profile when they are added to the client portal. Select which modules you wish to be included in that profile, then click Next.
5. Review the summary of what will be sent and click Finish. The client will receive an email to confirm that they have been setup, as well as two emails to obtain their username and password, separately.

To create a Guided Retirement assessment, follow these steps:

1. Go to the Active Client – Client List – Clients page.

2. Click the Create New Client... button, select Client and plan creation and click Get Started.

3. On the Client Information page, enter basic client information such as name, date of birth, and city. Click Next.

   

   Client & Plan Creation dialog box – Client Information stage

4. On the Family Members page, enter the required family member information. Click Next.

   • Click Add Family Member to add a new data-entry row.

     

     Client & Plan Creation dialog box – Family Members container

   • To enter additional information for each family member, select the applicable button.
   • Family members entered here are automatically included as beneficiaries in the clients' estate.
5. On the Beneficiaries page, enter the required beneficiary information. Click Next.
   • NaviPlan automatically creates a beneficiary named Other that is neither an heir nor a charity, but accounts for the annual gift tax exclusion. You cannot delete or edit the Other beneficiary.

   • Enter additional beneficiaries who are not family members. Using the Add Beneficiary button.

     

     Client & Plan Creation dialog box – Beneficiaries stage

6. On the Advisor Information page, enter the required advisor information. Click Next.

   • Click Add Advisor to create a new data entry row.

     Note: The information entered in the User Preferences - Advisor Details dialog box automatically appears here.

     

     Client & Plan Creation dialog box – Advisor Information stage

7. On the Planning Type page, select Guided Retirement.

   

   Client & Plan Creation dialog box – Planning Type stage

8. On the Assessment Setup page, enter an Assessment Name, Engagement Name, and Plan Year. Defaults will automatically generate and may be used.

   

   Client & Plan Creation dialog box – Assessment Setup stage

9. Click Next. The Client & Plan Creation dialog box opens to the Summary stage. A summary of the client file and selected analysis appears.
10. Click Finish. NaviPlan creates the client file and an engagement containing a new assessment.

In order to import Albridge data into a new client follow the below steps:

1. Go to Clients page (Client List – Clients page), and then click Create New Client.
2. To the right of the blank Client Information fields, under Actions, click .

3. Enter either the client's full last name or a portion of the last name with a wildcard (*) and click Search. Select the appropriate client from the search results, and then click Next.

   

   Import Client dialog box

4. Modify the client's information if necessary, then click Finish to complete the import of demographic information.

   Note: Married clients must be imported individually.
5. If the client has a spouse or other dependents, from the Client Information page, click Add Family Member. Repeat steps 5 to 7 until all family members are imported.
6. Go to the Plan Selection screen. To best import existing accounts and/or goals, create a Level 1 or Level 2 plan, and then click Next.
7. From the Modules screen, you have the option to select new goals to include in the plan or to import existing data.
   • By default, all existing plan data on Accounts, Lifestyle Assets, Incomes, Expenses, Liabilities, Retirement Goals, and Major Purchase Goals will be available to import.
   • Click Update Data to Import... to select which sets of data NaviPlan will import. This allows freedom to update specific aspects of an older plan.

8. After specifying the import preferences, click Finish, then go to the page associated with the data you want to import. This example covers importing account information on the Net Worth category – Accounts page.

   Note: The following steps will not apply to the client information or goals for which you selected not to important plan data.
9. Near the top of the Accounts page, click Import Accounts.
10. From the list of Held Away Accounts, select if the plan already contains financial goals, the imported accounts can be designated to fund them by selecting the appropriate goal from the Link to menu.
11. To import accounts as detailed accounts (with holdings), clear the Roll Up Holdings option.
12. If Roll Up Holdings is left selected:
    • Accounts will be imported as simple accounts (without holdings).
    • Any holds applied to the holdings will be removed.
    • Any holds applied to the holdings will be removed.
    • The valuation date will be set to the most recent valuation date.
    • Asset Class Weightings will either contain the weighted average of all asset class weightings in the rolled-up holdings or be blank, according to user permissions.

13. Click OK to complete the account import.

    

    Net Worth - Accounts - Import Accounts

Similar options exist for the other plan data being imported. For Incomes, Expenses, Lifestyle Assets, Liabilities, and Major Purchase Goals, an Import button appears next to the Add buttons.

For Retirement Goals, the Import button appears under Unassigned Accounts at the bottom of the Retirement page.

If you already entered a client's demographic information in a NaviPlan client file, you can simply link the existing file to its corresponding Albridge data.

1. Go to the Client Information page and click Link Client at the bottom of the page.
2. Locate the appropriate client and click Link to the right of their name.
3. Enter the client's last name and then click Search to locate their Back Office file.
4. Click Link to connect the client or family to their related Albridge data.

5. After specifying the import preferences, click Finish, then go to the page associated with the data you want to import. This example covers importing account information on the Net Worth category – Accounts page.

   Note: The following steps will not apply to the client information or goals for which you selected not to important plan data.
6. Near the top of the Accounts page, click Import Accounts.
7. From the list of Held Away Accounts, select if the plan already contains financial goals, the imported accounts can be designated to fund them by selecting the appropriate goal from the Link to menu.

The following Albridge data is available for transfer into NaviPlan:

• First name
• Last name
• Address (including city, state, street, zip code)
• Date of birth
• Contact information (home/business phone, email, fax)
• Employer addresses

In order to import AppCrown data into a new client follow the below steps:

1. Go to the Client Management – Client List – Clients page.
2. Click Create New Client.
3. On the Client Information screen, click under Actions.
4. Search for your client by their last name.

5. From the search results, select the client you would like to import and click Next. Then click Finish to import the client's information.

   Note: Data for each client can only be imported one at a time. To import data for a co-client or child repeat steps 1-5.
6. Once all family members are entered, go to the Plan Selection step. Select either an Asset Allocation Assessment, a Level 1 or Level 2 plan. Click Next.
7. In a new plan, go to the Net Worth – Accounts page.
8. Near the top of the page, click Import Accounts to open the Import Accountsdialog box.
9. Select the accounts to import.
   • To import all holdings as a single line item, select the Roll Up Holdings option.

10. Choose a goal to link accounts to by clicking the drop down menu under Link To.

    

    Net Worth - Accounts - Import Accounts

11. Click Finish to complete the import.

    Note: The Account Type and Cost Basis do not come over upon importing. These will need to be manually entered for each account.

To link a NaviPlan® client that has already been created to AppCrown, follow these steps:

1. Go to the Client Management – Client List – Clients Information page.
2. Click Link Client...
3. From the Link Client screen select Link/Relink.
4. Search for your client by their last name.

5. From the search results, select the client you would like to import and click Next. Then click Finish to import the client's information.

   Note: Data for each client can only be imported one at a time. To import data for a co-client or child repeat steps 1-5.

6. Once all family members are entered, go to the Plan Selection step. Select either an Asset Allocation Assessment, a Level 1 or Level 2 plan.
7. In a new plan, go to the Net Worth – Accounts page.
8. Near the top of the page, click Import Accounts to open the Import Accountsdialog box.
9. Select the accounts to import.
   • To import all holdings as a single line item, select the Roll Up Holdings option.

10. Choose a goal to link accounts to by clicking the drop down menu under Link To.

    

    Net Worth - Accounts - Import Accounts

11. Click Finish to complete the import.

    Note: The Account Type and Cost Basis do not come over upon importing. These will need to be manually entered for each account.

The following Appcrown data is available for transfer into NaviPlan:

Client data:

• First name
• Last name
• Date of birth
• Email address
• Street address
• Phone number
• City
• State
• Zip code

Account data:

• Description
• Owner

Holding data:

• Description
• Symbol
• Market value
• Valuation date

In order to import Envestnet data into a new client follow the below steps:

1. Go to the Client Management – Client List – Clients page.
2. Click Create New Client.
3. On the Client Information screen, click under Actions.
4. Search for your client by Last Name.
5. From the search results, select the client you would like to import. Click Next.

6. Review the household’s information, and make any adjustments. Once satisfactory, click Finish.

   

   Client & Plan Creation - Import Client

7. After linking and creating an account for a client. Go to Enter Financial Data - Net Worth - Accounts page.
8. Click Import Accounts.
9. Review the account details listed, link any unlinked accounts with the Link To drop-down.

10. Click OK.

    Note: Annuities attached to accounts will automatically be split and placed within the Annuities tab of the Net Worth section

The following Envestnet data will transfer into NaviPlan:

Client data:

• First name
• Last name
• Date of birth
• Title
• Tax filing status
• Gender
• Address
• City
• State
• Home phone
• Business phone
• Fax phone
• Email

Account data:

• Description
• Owner

Account holding data:

• Description
• Symbol
• Valuation date
• Market value
• Cost basis

Annuity data:

• Description
• Owner

Annuity holding data:

• Description
• Symbol
• Valuation date
• Market value
• Cost basis

In order to import Morningstar Office data into a new client follow the below steps:

1. Go to the Client Management – Client List – Clients page.
2. Click Create New Client.
3. On the Client Information screen, click under Actions.
4. Search for your client by their last name.
5. From the search results, select the client you would like to import. Click Finish to import the client's first and last names.

6. Enter the client's Date of Birth, Gender, Tax Filing Status, City, and State.

   Note: Only data for the "self member" can be imported from the data source; information relating to other family members in Morningstar Office must be entered manually.
7. Once all family members are entered, go to the Plan Selection step. Select either an Asset Allocation Assessment, a Level 1 or Level 2 plan. Click Next.
8. In a new plan, go to the Net Worth – Accounts page.
9. Near the top of the page, click Import Accounts to open the Import Accountsdialog box.
10. Select the accounts to import.
    • To import all holdings as a single line item, select the Roll Up Holdings option.

11. Click Finish to complete the import.

    Note: The account owner is NOT imported from Morningstar Office – it defaults to the “self member” or joint. You must manually update this information upon import, but you do not need to update this information when updating accounts.

To link a NaviPlan® client that has already been created to Morningstar Office, follow these steps:

1. Go to the Client Management – Client List – Clients Information page.
2. Click Link Client...
3. From the Link Client screen select Link/Relink.
4. Search for your client by their last name.

5. From the search results, select the client you would like to import and click Next. Then click Finish to import the client's information.

   Note: Data for each client can only be imported one at a time. To import data for a co-client or child repeat steps 1-5.
6. Once all family members are entered, go to the Plan Selection step. Select either an Asset Allocation Assessment, a Level 1 or Level 2 plan.
7. In a plan, go to the Net Worth – Accounts page.
8. Near the top of the page, click Import Accounts to open the Import Accountsdialog box.
9. Select the accounts to import.
   • To import all holdings as a single line item, select the Roll Up Holdings option.

10. Click Finish to complete the import.

    Note: The account owner is NOT imported from Morningstar Office – it defaults to the “self member” or joint. You must manually update this information upon import, but you do not need to update this information when updating accounts.

The following Morningstar Office data is available for transfer into NaviPlan:

Client data:

• First name
• Last name
• Zip code

Account data:

• Description
• Account type

Holding data:

• Description
• Symbol
• Valuation date
• Market value

In order to import Orion data into a new client follow the below steps:

1. Go to the Client Management – Client List – Clients page.
2. Click Create New Client.
3. On the Client Information screen, click under Actions.
4. Enter the client's name into the Search By field.
5. Click Search.
6. From the search results, select the client you would like to use and click Link.
7. Go to the Net Worth – Accounts page.
8. Near the top of the page, click Import Accounts to open the Import Accountsdialog box.
9. Select the accounts to import.
   • To import all holdings as a single line item, select the Roll Up Holdings option.

10. Click OK to complete the import.

    Note: The account owner and account type is NOT imported from Orion – it defaults to a non-qualified, joint account. You must manually update this information upon import, but you do not need to update this information when updating accounts.

In order to import Orion data into an existing client follow the below steps:

1. Go to the Client Information – Client List – Existing Clients page.
2. Highlight the Client you wish to Link.
3. From the toolbar, click Link Client....
4. Enter the client's name into the Search By field.
5. Click Search.
6. From the search results, select the client you would like to use and click Link.
7. Go to the Net Worth – Accounts page.
8. Near the top of the page, click Import Accounts to open the Import Accountsdialog box.
9. Select the accounts to import.
   • To import all holdings as a single line item, select the Roll Up Holdings option.

10. Click OK to complete the import.

    Note: The account owner and account type is NOT imported from Orion – it defaults to a non-qualified, joint account. You must manually update this information upon import, but you do not need to update this information when updating accounts.

The following Orion data is available for transfer into NaviPlan:

Client data:

• City
• State

Account data:

• Description

Holding data:

• Description
• Symbol
• Valuation date
• Market value
• Cost basis

In order to import Pershing data into a new client follow the below steps:

1. Go to the Client Management – Client List – Clients page.
2. Click Create New Client.
3. On the Client Information screen, click under Actions.
4. Search for your client by Short Name.
5. From the search results, select the client you would like to import. Click Next.

6. Review the client's information, and make any adjustments. Once satisfactory, click Finish.

   

   Client & Plan Creation - Import Client

   Note: If there are multiple clients you wish to import, you will need to do the import again for that client.
7. After linking and creating an account for a client. Go to Enter Financial Data - Net Worth - Accounts page.
8. Click Import Accounts.
9. Review the account details listed, link any unlinked accounts with the Link To drop-down.

10. Click OK.

    Note: Annuities attached to accounts will automatically be split and placed within the Annuities tab of the Net Worth section.

The following Pershing data is available for transfer into NaviPlan:

Client data:

• First name
• Last name
• Date of birth
• Citizenship
• Gender
• Tax filing status
• Country
• Street
• City
• State
• Zip code
• Home phone
• Business phone
• Fax phone
• Cell phone
• Pager phone
• Email
• Title
• State

Account data:

• Description
• Account type
• Owner

Account holding data:

• Description
• Symbol
• Valuation date
• Market value

Annuity data:

• Description
• Account type
• Owner

Annuity holding data:

• Description
• Symbol
• Valuation date
• Market value

In order to import MX data for a new client, follow the below steps:

1. Go to the Client List – Clients page.
2. Click Create New Client.
3. After selecting Client and plan creation, click Get started.
4. On the Client Information screen, click under Actions.
5. Search for your client by Client Name.
6. From the search results, select the client you would like to import. Click Next.

7. Review the client's information, and make any adjustments. Once satisfactory, click Finish.

   If running a joint analysis, repeat steps 3-5 separately for each client.

   

   Client & Plan Creation - Import Client

8. After linking and creating an account for a client, go to Enter Financial Data - Net Worth - Accounts page.
9. Click Import Accounts.
10. Review the account details listed, and link any unlinked accounts with the Link To drop-down.
11. Click OK.

The following MX data is available for transfer into NaviPlan:

Client data:

• First name
• Last name
• Phone
• Email

Account data:

• Description
• Account type
• Owner

Holding data:

• Description
• Symbol
• CUSIP number
• Valuation date
• Market value
• Cost basis

In order to import Redtail data into a new client follow the below steps:

1. Go to the Client Management – Client List – Clients page.
2. Click Create New Client.
3. On the Client Information screen, click under Actions.
4. Search for your client by their last name.

5. From the search results, select the client you would like to import and confirm that the data is accurate. Click Finish.

   Note: If running a joint analysis, you will need to repeat steps 3-5 separately for each client. If the client has dependents, go to the Family Members step and click Add Dependent. Follow the same steps as importing the client and co-client. Repeat until all dependents are in the plan. 6. Once all family members are entered, go to the Plan Selection step. Select an Asset Allocation Assessment, a Level 1 or Level 2 plan. Click Next to continue the rest of the plan creation process.

   If the client has dependents, go to the Family Members step and click Add Dependent. Follow the same steps as importing the Client and Co-client. Repeat until all dependents are in the plan.

6. Once all family members are entered, go to the Plan Selection step. Select an Asset Allocation Assessment, a Level 1 or Level 2 Plan. Click Next to continue the rest of the plan creation process.
7. Go to the appropriate page in NaviPlan® (indicated in the table to the left).
8. Near the area of the screen related to the financial element for which you're importing data, click Import.
   • Holdings are imported as part of Accounts.
9. Select the items to import.
10. Click Finish to complete the import.

In order to import Redtail data into an existing client follow the below steps:

1. Go to the Client Management – Client List – Clients page.
2. From the blue toolbar, click Link/Relink to open the Link Client dialog box.
3. Click Link/Relink for each client whose information you would like to update.
4. Search for your client by their last name.

5. From the search results, select the client you would like to import and confirm that the data is accurate. Click Finish.

   Note: If running a joint analysis, you will need to repeat steps 3-5 separately for each client. If the client has dependents, go to the Family Members step and click Add Dependent. Follow the same steps as importing the client and co-client. Repeat until all dependents are in the plan. 6. Once all family members are entered, go to the Plan Selection step. Select an Asset Allocation Assessment, a Level 1 or Level 2 plan. Click Next to continue the rest of the plan creation process.

   If the client has dependents, go to the Family Members step and click Add Dependent. Follow the same steps as importing the Client and Co-client. Repeat until all dependents are in the plan.

6. Go to the appropriate page in NaviPlan® (indicated in the table to the left).
7. Near the area of the screen related to the financial element for which you're importing data, click Import.
   • Holdings are imported as part of Accounts.
8. Select the items to import.
9. Click Finish to complete the import.

The following Redtail data is available for transfer into NaviPlan:

Client data:

• First name
• Last name
• Title
• Gender
• Address (including street, city, state, zip code)
• Contact information (home/business phone, cell phone, email)
• State of employment
• Employer name and title

Account data:

• Description
• Account type
• Owner
• Market value

Account holding data:

• Description
• Symbol
• Valuation date
• Market value

Annuity data:

• Description
• Annuity type
• Account type
• Valuation date
• Owner
• Market value

Annuity sub-account data:

• Description
• Symbol
• Valuation date
• Market value

Income data:

• Owner
• Annual amount

Liability data:

• Description
• Liability type
• Balance
• Owner

In order to import Schwab Custody data into a new client follow the below steps:

1. Go to the Client Management – Client List – Clients page.
2. Click Create New Client.
3. On the Client Information screen, click under Actions.
4. Search for your client by their last name.

5. From the search results, select the client you would like to import and confirm that the data is accurate. Click Finish.

   Note: If running a joint analysis, you will need to repeat steps 1-5 separately for each client.

   If the client has dependents, go to the Family Members step and click Add Dependent. Follow the same steps as importing the Client and Co-client. Repeat until all dependents are in the plan.

6. Once all family members are entered, go to the Plan Selection step. Select either an Asset Allocation Assessment, a Level 1 or Level 2 plan. Click Next to continue the rest of the plan creation process.
7. From the Accounts page (Enter Financial Data – Net Worth category), select Import Accounts.
8. Select a goal to be funded by each account in the list. When you are satisfied, click OK.
9. Review the imported accounts and add any additional details you desire.

In order to import Schwab Custody data into an existing client follow the below steps:

1. Go to the Client Management – Client List – Clients page.
2. From the blue toolbar, click Link/Relink.
3. Search for your client by their last name.

4. From the search results, select the client you would like to import and confirm that the data is accurate. Click Finish.

   Note: If running a joint analysis, you will need to repeat steps 1-5 separately for each client.

   If the client has dependents, go to the Family Members step and click Add Dependent. Follow the same steps as importing the Client and Co-client. Repeat until all dependents are in the plan.

5. Once all family members are entered, go to the Plan Selection step. Select either an Asset Allocation Assessment, a Level 1 or Level 2 plan. Click Next to continue the rest of the plan creation process.
6. From the Accounts page (Enter Financial Data – Net Worth category), select Import Accounts.
7. Select a goal to be funded by each account in the list. When you are satisfied, click OK.
8. Review the imported accounts and add any additional details you desire.

The following Schwab Custody data is available for transfer into NaviPlan:

Client data:

• First name
• Last name
• City
• State

Account data:

• Description
• Account type
• Owner

Holding data:

• Description
• Symbol
• Valuation date
• Market value
• Cost basis

In order to import TD Veo data into a new client follow the below steps:

1. After enrolling in the integration, go into a plan and go to the Accounts page (Enter Financial Data – Net Worth category), enter the account number and select Import The Account.
2. If you would like to link the account to one of the financial goals in the plan, select the appropriate goal from the Link To menu.
3. If you would like to roll-up holdings for the imported account, select the Roll Up Holdings option.
4. Review the imported accounts and add any additional details you desire.

The following TD Veo data is available for transfer into NaviPlan:

Account data:

• Description
• Account type

Holding data:

• Description
• Symbol
• Valuation date
• Market value