Form Name | Description |
Confidential Investment Management Questionnaire (IMQ) | Confidential questionnaire to begin a relationship with Brick Financial Management, LLC. This form can also be completed by using our QuickStart form. Please refer to our Privacy Policy. One of our preferred custodians, Foliofn, conducts all of its business online. The IMQ serves as the application to open an account and authorize trading for Foliofn. |
Investment Management Agreement and Trading Authorization (IMA) | Form details the contractual agreement between the client and Brick Financial Management, LLC. Also includes a general trading authorization agreement. The IMA can also be completed by using our QuickStart form. |
ADV Form II | SEC form ADV Part II. Details the operations, investment approach and fee arrangements of Brick Financial Management, LLC. |
Client Education Brochure | This document introduces some investment concepts we find important. It is meant to be a broad overview. |
Foliofn Investment Advisor (Individual New Account) Form | Open a new taxable or IRA (Traditional or Roth) account with Foliofn. For use with information in IMQ. |
Foliofn Investment Advisor (Company New Account) Form | Open a new taxable or IRA (Traditional or Roth) account with Foliofn for Corporate clients. For use with information in IMQ. |
Ameritrade New Account Form | Open a new account with Ameritrade. |
Ameritrade New IRA Account Form | Open a new Traditional or Roth IRA account with Ameritrade. |
Ameritrade Trading Authorization and Fee Payment Form | Grants discretionary trading authority to Brick Financial Management for investment clients for Ameritrade Accounts. |
Ameritrade Transfer Form | Use this form when transferring funds from another institution. Also, use this form with your IRA Application to rollover all or part of your retirement plan from your former employer, if you are retiring or changing jobs. |
Foliofn Transfer Form | Use this form when transferring funds from another institution. Also, use this form with your IRA Application to rollover all or part of your retirement plan from your former employer, if you are retiring or changing jobs. |
Ameritrade Deposit Form and Ameritrade IRA Deposit Form | Use these forms to make the occasional deposit to your Ameritrade account. |
Solicitor's Agreement | Brick Financial Management will enter into a referral agreement with individuals and professionals alike. Under the terms of the "Solicitor's Agreement", Brick Financial Management will pay a percentage of the investment management fees received by Brick Financial from any "Solicited Client" to the approved "Solicitor". This is an example of the Solicitor's Agreement. |
Solicitor's Disclosure Document | This form is used to disclose the relationship between Brick Financial Management and the approved "Solicitor" to the "Solicited Client" or perspective client. |
Code of Ethics | Brick Financial Management's Code of Ethics |
CFA Code of Ethics | CFA Institute Code of Ethics and Standards of Practice |