Client forms

FACT FIND

Please download a PDF Factfind, complete manually and send me a copy by mail or scan it and send by email. I seek some of your personal details, but purely for the purposes of complying with the Anti-Money Laundering and CTA Financing Act 2006 and regulations, which require me to identify you and other investing entities. This information will also enable me to populate an application form on your behalf which is then sent to you for your authorisation. IMPORTANT: by CA section 766 B3 conducting a fact find for the above purposes, including the consideration of one or more of your objectives, financial situation and needs, does not constitute personal financial product advice by me. Any advice I give verbally will be general advice unless you specifically request personal advice from me , and agree to pay for this advice, and I provide you with a written Statement of that Advice.

Sophisticated/Wholesale Investors:

This area of Australian law is in a state of confusion concerning the status of trustees of SMSF although recently ASIC has moved to try and address this problem.

However as the majority of my clients invest via a self-managed super fund, I chose to circumvent this problem some time ago by abandoning offering both a wholesale and retail product and instead offer one retail financial product that is differentially priced so that wholesale investors pay proportionately less fees because of scaling benefits.

To participate in new floats and placements outside of the financial product, which is a financial service I can additionally provide, you must first evidence you satisfy the Sophisticated Investor test.

A licencee can alternatively provide a statement of reasons why you are a wholesale client. This might even apply to trustees of SMSF. This is an alternative way of proving you are a wholesale/sophisticated investor. It was introduced to recognise that many older investors in particular no longer have the same level of taxable income or eligible assets but are of course experienced investors.

Managed Account Forms

IDPS Guide – prepared by Hub 24 – please note that Aldersley Capital has negotiated lower administration fees for its clients than those shown in the IDPS Guide.

In specie transfers

AC Model Portfolio Disclosure Statements (prepared by Hub24)

  • ACP001 – Managed Equity Selection – designed for equity investors
  • ACP002 – Income Plus – designed for investors with a “balanced” (or “moderate”) risk tolerance.You can invest in varying percentages of each to adjust your risk profile.

Past Performance Reviews

Aldersley Capital has recently completed two years months of performance at HUB24 in respect of the two models and the latest performance reports (prepared by Hub24 with Aldersley Capital commentary) are available under the Investment Performance tab