Welcome to CCM!

We are happy to welcome you as a client at Carlson Capital Management and look forward to working with you!

It is our goal to make your transition to Carlson Capital Management as smooth as possible. We will be in contact with you at various times during this process, but if you should have any questions during this period, please call or email a member of our Client Servicing Team.

Important Compliance Documents

As you sign key agreements associated with working with our firm including the Investment Advisory Agreement and the Investment Policy Statement, the following are key related compliance documents provided for your review:

Opening Accounts

When will the process of transferring my assets begin?

The forms you signed upon becoming a Carlson Capital Management client will be completed and submitted to Charles Schwab & Co. within a week. Schwab will begin processing the transfer requests immediately. Transfers can take up to two weeks to two months depending on the type of asset we are transferring. We will review your statements and work to identify for you if any accounts may take longer than average to transfer.

How does this affect my current accounts?

Once the custodian of your current accounts receives our transfer request the account will be “frozen”—allowing no transactions (deposits, withdrawals, trades, etc.).

Helpful Account Features

Upon your accounts opening, Schwab will automatically initiate enrollment in e-Delivery for convenient and secure delivery of your statements, prospectuses, and other related documents. Schwab’s web access is straight forward and only takes five minutes to set up. Once enrolled, you can customize your delivery preferences to meet your specific needs.

CCM uses Schwab e-Authorization and DocuSign as convenient, secure methods for sending you forms requiring your review and signature. When possible, we try to use Schwab e-Authorization, then DocuSign as an alternative.

If you would like to make automatic deposits into or withdrawals out of one of your new Schwab accounts, we will use MoneyLink to connect to your chosen bank account(s). We will ask you to sign a form and provide a voided check to complete the MoneyLink set-up.

Your CCM client portal access provides you with an interactive, big picture overview of all your CCM-managed accounts, a snapshot of your investment holdings, dynamic reports, secure access to document-sharing, and your quarterly statements from CCM. You will automatically be registered for the CCM Client Portal upon becoming a client. Instructions for access will be emailed to you.