Trade Sandbox

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Submitter Information

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Submission Date

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Rep Code

Rep Code*

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Contact Name

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Contact Email

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User Role

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Contact Company

Name of the IAR you are submitting the request for:(Required)

Email of the advisor for secondary notification:(Required)

Advisor Requesting Update

For which IAR is the request being submitted for? (RC)

Would you like to update the assigned advisor?

Yes

Who will be the new advisor?

Client Information

Client Name(Required)

Account Number(Required)

Is this account sleeved?

Yes

Sleeve Number

Estimated Account Value(Required)

Please enter a number greater than or equal to 0.

Trade requests received prior to 12pm EST will be executed that day, with all other requests being executed on a best efforts basis that same day or the following trading day. Would you like to delay this request to a later date?

Yes

Date to Execute Trade Request

Type of Request

Managed Account Request (MAR)

Advisor Managed Request (AMR)

Type of Request*

Managed Account Request (MAR)

Advisor Managed Request (AMR)

Managed Account Request (MAR) - Used for accounts currently in, or going into, one of the managed models available on the Bison Wealth platform, including requests pertaining to an individual sleeve of an already sleeved account.
Advisor Managed Request (AMR) - Used to give explicit trade instructions for accounts / individual sleeves not in a managed model.

Managed Account Request Details

Managed Account Request Type*

Raise Cash

Rebalance

Full Liquidation

Systematic Plan

Protect Assets

Update or Assign Model / Allocation

Update Billing

Managed Account Request Type

Raise Cash

Rebalance

Full Liquidation

Protect Assets

Update or Assign Model

Amount to Invest(Required)

Total Account Value (All Existing Securities Will Be Sold Into New Portfolio Selection)

Partial Account Value

Amount to Invest 1(Required)

Total Account Value (All Existing Securities Will Be Sold Into New Portfolio Selection)

Partial Account Value

Amount to Invest*(Required)

Total Account Value (All Existing Securities Will Be Sold Into New Portfolio Selection)

Partial Account Value

Dollar Cost Average

Partial Amount to Invest

Please list the approximate dollar amount to invest into the model.

Weekly Amount to Invest

Please list the approximate dollar amount to invest into the model.

Number of Weeks to DCA

Securities or Cash Amount to Protect

If protecting cash, please specify amount and how long to protect for (Ex: 2 months/Indefinitely/etc)

Raise Cash Section

Raise Cash (Dollar Amount)

Please list the total (gross) amount to be withdrawn from the account.

Note: Accounts invested in portfolios have a standard cash level of 2%. Cash is allowed to drift but is reviewed every two weeks and invested accordingly.
Note: Current policy is to protect the cash for 7 calendar days before being reallocated to the assigned model. If you are raising cash for a future need more than one week, we will mark these funds to avoid reallocation.

Would you like to protect this cash from auto-investment for longer than one week?(Required)

Yes

How long should we protect the cash raised?(Required)

Two Weeks

Three Weeks

One Month

Two Months

I would like to select a custom date

Custom Date

Sleeved Accounts Only: Should the funds be raised (or rebalanced, as appropriate) proportionately across all MANAGED sleeves?

Yes

Not Applicable

Note: Excludes any Advisor Managed sleeves
Note: Advisor Managed sleeves will always be excluded from general trading in a sleeved account. If trades are desired in an Advisor Managed sleeve, explicit trade instructions must be provided in a separate request via the AMR side of this form.
Note: If "No", you would like the funds raised out of a particular sleeve, please include a sleeve identifier in the Account Number field - such as the sleeve’s account number suffix or model manager - so that we know which sleeve this request pertains to.

Rebalance Section

Please list the approximate total value of any funds/holdings added to this account

If no assets were added to the account, you can list "N/A" in this field. Please then elaborate on why a Rebalance is needed in the Additional Comments.

Sleeved Accounts Only: Should the funds be raised proportionately across all MANAGED sleeves?

Yes

Not Applicable

Full Liquidation Section

Should Billing be Removed from the Account?(Required)

Yes

If there are assets in an Advisor Managed sleeve(s), should those assets be liquidated as well?

Yes

Does this account hold any interval funds with limited redemption windows?

Yes

Please list Interval funds with next redemption window

Systematic Plan Section

New Systematic or Update Existing?

New

Edit Existing

Remove Existing

For use within Orion platform. Advisor office still responsible for establishing/updating systematic plan at custodian. All systematic plans can be added to Orion for reporting purposes, however, only accounts invested in actively managed models (models available in the MAR section of this form) can be proactively traded by the Bison Wealth team. Accounts with Systematic Withdrawal plans not in a managed model will need an Advisor Managed Request (AMR) submitted if trades are needed to raise funds.

Frequency

Monthly

Quarterly

Annually

Other

Other Frequency

Systematic Type

Withdrawal

Deposit

Systematic Dollar Amount

Next Scheduled Transaction

Protect Asset Section

Are the assets being protected cash?

Yes

Cash Value to Protect

Please enter a number greater than or equal to 0.

How long should we protect this cash for? Choose an end date

Non-Cash Assets to Protect

Protecting assets is for temporary protection of funds. These assets will not be traded by the trading team unless requested by the advisor.

Exclude Protected Assets from Billing?(Required)

Yes

Update Model Section

Model Selection Type?

Single Portfolio

Blended Portfolio

Manager

Manager*

Avantis Model

The recommended account value minimum for the Avantis model is $10,000.

BlackRock Model

The recommended account value minimum for the BlackRock models is $25,000 for both Target Allocation model suites and $5,000 for the Long Horizon model suite.

Use 55ip to invest into BlackRock?

Yes

For more information on 55IP, reach out to the Bison Wealth Financial Planning team.

What percentage of the account should be transitioned into the new model up front?

25%

50%

75%

Review 55ip Tax Transition Proposal for more details.

Should any holdings be excluded from the transition (i.e. not to be traded)? If so, please list them:

Dana Model

Please note, all Dana models come with an additional 35bps 3rd-party manager fee. The recommended account value minimum for the Dana models is $100,000.

I acknowledge that the selected model comes with an additional 3rd-party manager fee.

Yes

First Trust Model

The recommended account value minimum for the First Trust models is $25,000.

I acknowledge that the selected model comes with an additional 3rd-party manager fee.

Yes

REAP

Use Buffered ETF Model Variation?

Yes

First Trust Buffered ETF

RiverShares Model

The recommended account value minimum for the RiverShares models is $10,000.

Vanguard Model

The recommended account value minimum for the Vanguard models is $10,000.

WisdomTree Model

The recommended account value minimum for the WisdomTree models is $25,000.

Zacks Model

Please note, all Zacks models come with an additional 28bps 3rd-party manager fee. The recommended account value minimum for the Zacks models is $100,000 for the All Cap Equity model and $50,000 for the Dividend Strategy model.

I acknowledge that the selected model comes with an additional 3rd-party manager fee.

Yes

Buffered ETF - First Trust Model

Buffered ETF - Innovator Model

Buffered ETF - Pacer Model

Miscellaneous Model

Advisor Designed Selection

Howard Capital

Please note, Howard Capital models costs an additional 40bps manager fee that is split between Bison & Howard. Trading/Operations will send a document that must be signed by the client before Trading will implement the strategy.

Picardi Selection

Harris Selection

Casebolt Selection

Please note, Bison Inflation Resilient Growth costs an additional 45bps manager fee to Bison. Trading/Operations will send a document that must be signed by the client before Trading will implement the strategy.

Fisher Selection

Please note, Bison Inflation-Resilient Growth costs an additional 45bps manager fee to Bison. Trading/Operations will send a document that must be signed by the client before Trading will implement the strategy.

Stratis-McGinnis Selection

Clark Selection

Wall Selection

Johnson Selection

Williams Selection

Savarese Selection

Liquid Strategies Model

Strategies

Bison Risk Based

Bison Tactical

Bison Specialty Strategies

Bison Stock Portfolios

Please note, these portfolios cost an additional 25bps manager fee to Bison. The recommended account value minimum for the Bison Stock Portfolio models is $50,000. Trading/Operations will send a document that must be signed by the client before Trading will implement the strategy.

Bison Objective Based

Please note, Bison Balanced Accumulation with Inflation Resilient Growth carries an incremental fee of 45bps which does not apply to the entire portfolio, but only to 20%. Trading/Operations will send a document that must be signed by the client before Trading will implement the strategy.

Capital Defender Model

Risk Profile

***The Niagara Income Opportunities Fund is an Interval Fund. Due to Interval Funds not providing daily liquidity, instead providing quarterly redemptions, to facilitate billing, a minimum of 2% of the account value will be left in cash when investing an account into the Fund. Additionally, each quarter, accounts invested in the Fund with cash levels below 2% will be proactively traded to attempt to raise the cash level back to 2%.

***The Denali Structured Return Strategy Fund is an Interval Fund. Due to Interval Funds not providing daily liquidity, instead providing quarterly redemptions, to facilitate billing, a minimum of 2% of the account value will be left in cash when investing an account/sleeve into the Fund. Additionally, each quarter, accounts/sleeves invested in the Fund with cash levels below 2% will be proactively traded to attempt to raise the cash level back to 2%.

Note: Capital Defender Models require a minimum of $50,000 allocated to the strategy. Accounts with less than $50,000 allocated to the strategy will use Kensington Defender Institutional Fund (DFNDX) instead.

Update Model - Blended Portfolio

CORE PORTFOLIO SOLUTIONS 1

Manager 1/

Manager 1

Manager 1*

Avantis Model 1

The recommended account value minimum for the Avantis model is $10,000.

Advisor Designed Selection 1

Picardi Selection 1

Harris Selection 1

Clark Selection 1

Wall Selection 1

Johnson Selection 1

Stratis-McGinnis Selection 1

Williams Selection 1

Savarese Selection 1

BlackRock Model 1

The recommended account value minimum for the BlackRock models is $25,000 for both Target Allocation model suites and $5,000 for the Long Horizon model suite.

Use 55ip to invest into BlackRock? 1

Yes

For more information on 55IP, reach out to the Bison Wealth Financial Planning team.

What percentage of the account should be transitioned into the new model up front? 1

25%

50%

75%

Review 55ip Tax Transition Proposal for more details.

Should any holdings be excluded from the transition (i.e. not to be traded)? If so, please list them: 1

Dana Model 1

Please note, all Dana models come with an additional 35bps 3rd-party manager fee. The recommended account value minimum for the Dana models is $100,000.

I acknowledge that the selected model comes with an additional 3rd-party manager fee.

Yes

First Trust Model 1

The recommended account value minimum for the First Trust models is $25,000.

I acknowledge that the selected model comes with an additional 3rd-party manager fee.

Yes

Howard Capital 1

Vanguard Model 1

The recommended account value minimum for the Vanguard models is $10,000.

WisdomTree Model 1

The recommended account value minimum for the WisdomTree models is $25,000.

Zacks Model 1

I acknowledge that the selected model comes with an additional 3rd-party manager fee.

Yes

Buffered ETF - First Trust Model 1

Buffered ETF - Innovator Model 1

Buffered ETF - Pacer Model 1

Miscellaneous Model 1

REAP 1

Use Buffered ETF Model Variation? 1

Yes

First Trust Buffered ETF 1

Strategies 1

Bison Risk Based 1

Bison Tactical 1

Bison Specialty Strategies 1

Bison Stock Portfolios 1

Bison Objectives Based 1

Capital Defender Model 1

Liquid Strategies Model 1

Risk Profile 1

Allocation 1 (%)

Please enter a number from 0 to 100.

SUPPLEMENTAL STRATEGIES 2

Manager 2/

Manager 2

Manager 2*

Avantis Model 2

The recommended account value minimum for the Avantis model is $10,000.

Advisor Designed Selection 2

Picardi Selection 2

Harris Selection 2

Savarese Selection 2

Stratis-McGinnis Selection 2

Williams Selection 2

Clark Selection 2

Wall Selection 2

Johnson Selection 2

BlackRock Model 2

The recommended account value minimum for the BlackRock models is $25,000 for both Target Allocation model suites and $5,000 for the Long Horizon model suite.

Use 55ip to invest into BlackRock? 2

Yes

For more information on 55IP, reach out to the Bison Wealth Financial Planning team.

What percentage of the account should be transitioned into the new model up front? 2

25%

50%

75%

Review 55ip Tax Transition Proposal for more details.

Should any holdings be excluded from the transition (i.e. not to be traded)? If so, please list them: 2

Dana Model 2

Please note, all Dana models come with an additional 35bps 3rd-party manager fee. The recommended account value minimum for the Dana models is $100,000.

I acknowledge that the selected model comes with an additional 3rd-party manager fee.

Yes

First Trust Model 2

The recommended account value minimum for the First Trust models is $25,000.

I acknowledge that the selected model comes with an additional 3rd-party manager fee.

Yes

Howard Capital 2

Vanguard Model 2

The recommended account value minimum for the Vanguard models is $10,000.

WisdomTree Model 2

The recommended account value minimum for the WisdomTree models is $25,000.

Zacks Model 2

I acknowledge that the selected model comes with an additional 3rd-party manager fee.

Yes

Buffered ETF - First Trust Model 2

Buffered ETF - Innovator Model 2

Buffered ETF - Pacer Model 2

Miscellaneous Model 2

REAP 2

Use Buffered ETF Model Variation? 2

Yes

First Trust Buffered ETF 2

Strategies 2

Bison Risk Based 2

Bison Objectives Based 2

Bison Tactical 2

Bison Specialty Strategies 2

Bison Stock Portfolios 2

Capital Defender Model 2

Liquid Strategies Model 2

Risk Profile 2

Allocation 2 (%)

Please enter a number from 0 to 100.

SUPPLEMENTAL STRATEGIES 3

Manager 3/

Manager 3

Manager 3*

Avantis Model

The recommended account value minimum for the Avantis model is $10,000.

Advisor Designed Selection 3

Picardi Selection 3

Harris Selection 3

Savarese Selection 3

Stratis-McGinnis Selection 3

Williams Selection 3

Clark Selection 3

Wall Selection 3

Johnson Selection 3

BlackRock Model 3

The recommended account value minimum for the BlackRock models is $25,000 for both Target Allocation model suites and $5,000 for the Long Horizon model suite.

Use 55ip to invest into BlackRock? 3

Yes

For more information on 55IP, reach out to the Bison Wealth Financial Planning team.

What percentage of the account should be transitioned into the new model up front? 3

25%

50%

75%

Review 55ip Tax Transition Proposal for more details.

Should any holdings be excluded from the transition (i.e. not to be traded)? If so, please list them: 3

Dana Model 3

Please note, all Dana models come with an additional 35bps 3rd-party manager fee. The recommended account value minimum for the Dana models is $100,000.

I acknowledge that the selected model comes with an additional 3rd-party manager fee.

Yes

First Trust Model 3

The recommended account value minimum for the First Trust models is $25,000.

I acknowledge that the selected model comes with an additional 3rd-party manager fee.

Yes

Howard Capital 3

Vanguard Model 3

The recommended account value minimum for the Vanguard models is $10,000.

WisdomTree Model 3

The recommended account value minimum for the WisdomTree models is $25,000.

Zacks Model 3

I acknowledge that the selected model comes with an additional 3rd-party manager fee.

Yes

Buffered ETF - First Trust Model 3

Buffered ETF - Innovator Model 3

Buffered ETF - Pacer Model 3

Miscellaneous Model 3

REAP 3

Use Buffered ETF Model Variation? 3

Yes

First Trust Buffered ETF 3

Strategies 3

Bison Risk Based 3

Bison Objective Based 3

Bison Tactical 3

Bison Stock Portfolios 3

Bison Specialty Strategies 3

Capital Defender Model 3

Liquid Strategies Model 3

Risk Profile 3

Allocation 3 (%)

Please enter a number from 0 to 100.

Total

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Update or Assign Allocation (RC)

Allocation Type

Single Model Allocation

Sleeve Allocation

Amount to Invest (RC)(Required)

Total Account Value (All Existing Securities Will Be Sold Into New Portfolio Selection)

Partial Account Value

Partial Amount to Invest

Please list the approximate dollar amount to invest into the model.

Securities or Cash Amount to Protect

If protecting cash, please specify amount and how long to protect for (Ex: 2 months/Indefinitely/etc)

Exclude Protected Assets from Billing?

Yes

Manager (RC)

RC Planners

55 ip Blackrock

RC Planners Model

View Model Buckets

55 ip BlackRock Models

The recommended account value minimum for the BlackRock models is $25,000 for both Target Allocation model suites and $5,000 for the Long Horizon model suite.

Please describe how you would like to implement this 55ip strategy.

Should any holdings be excluded from the transition (i.e. not to be traded)? If so, please list them:

Has Billing been established on this account?

Yes

Sleeve Allocation Request Type

New

Edit Existing

When sleeving an account for the first time: If using the “Allocation %” fields, the percentages for all Managed sleeves MUST add up to 100%. *Allocation % only pertains to Managed assets. The value of Advisor Managed assets or Set Aside funds should be excluded when calculating the percentages. If using the “Dollar Value” fields, the combined value of ALL listed sleeves (and any Set Aside funds) MUST equate to the total account value.

Sleeve 1

Sleeve 1: Management Type

Managed Account

Advisor Managed

Sleeve 1 Model

Sleeve 1: Advisor Managed Model

Sleeve 1: Percent Allocation

Please enter a number from 0 to 100.

Sleeve 1: Advisor Managed Sleeve Contents

Move Existing Funds/Holdings into Sleeve

Place Trades in the Sleeve

Sleeve 1: List the existing funds/holdings to be moved into this sleeve

Sleeve 1: Trades

Sleeve 1: Billing Fee

Sleeve 2

Sleeve 2: Management Type

Managed Account

Advisor Managed

Sleeve 2 Model

Sleeve 2: Advisor Managed Model

Sleeve 2: Percent Allocation

Please enter a number from 0 to 100.

Sleeve 2: Advisor Managed Sleeve Contents

Move Existing Funds/Holdings into Sleeve

Place Trades in the Sleeve

Sleeve 2: List the existing funds/holdings to be moved into this sleeve

Sleeve 2: Trades

Sleeve 2: Billing Fee

Sleeve 3

Sleeve 3: Management Type

Managed Account

Advisor Managed

Sleeve 3 Model

Sleeve 3: Advisor Managed Model

Sleeve 3: Percent Allocation

Please enter a number from 0 to 100.

Sleeve 3: Advisor Managed Sleeve Contents

Move Existing Funds/Holdings into Sleeve

Place Trades in the Sleeve

Sleeve 3: List the existing funds/holdings to be moved into this sleeve

Sleeve 3: Trades

Sleeve 3: Billing Fee

Sleeve 4

Sleeve 4: Management Type

Managed Account

Advisor Managed

Sleeve 4 Model

Sleeve 4: Advisor Managed Model

Sleeve 4: Percent Allocation

Please enter a number from 0 to 100.

Sleeve 4: Advisor Managed Sleeve Contents

Move Existing Funds/Holdings into Sleeve

Place Trades in the Sleeve

Sleeve 4: List the existing funds/holdings to be moved into this sleeve

Sleeve 4: Trades

Sleeve 4: Billing Fee

Sleeve 5

Sleeve 5: Management Type

Managed Account

Advisor Managed

Sleeve 5 Model

Sleeve 5: Advisor Managed Model

Sleeve 5: Percent Allocation

Please enter a number from 0 to 100.

Sleeve 5: Advisor Managed Sleeve Contents

Move Existing Funds/Holdings into Sleeve

Place Trades in the Sleeve

Sleeve 5: List the existing funds/holdings to be moved into this sleeve

Sleeve 5: Trades

Sleeve 5: Billing Fee

Update Billing Section

Type of Billing Update

Update Billing

Remove Billing

Total Fee to Charge Account(Required)

Billing Start Date

Orion Start Date

Trade Settlement Date

Start Date already Established

Other

Desired Start Date

Advisor on Account

Please confirm the Branch and Service Rep

Advisor Managed Request Details

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Advisor Managed Request Type

Trade Instructions

Advisor Managed Request Type*

Update Advisor Managed Model

Trade Instructions

Update Billing

Update Advisor Managed Model Details

Advisor Managed Model (reporting purposes only)

Assigning an Advisor Managed "model" to an account is used purely for reporting purposes and does not indicate active management/trading of the account by Bison Wealth. An account in any of the Advisor Managed models will remain static unless explicit trades are requested using this form. Therefore, any cash shortages in the account for upcoming systematic withdrawals or quarterly billing will require explicit trade instructions by the advisor’s office via this form.

Trade Instruction Details

Trade Instructions

Specific Trade Instructions

Sell ALL Shares of Specified Holdings

Liquidate Account EXCEPT Specified Holdings

Full Liquidation

SPECIFIC TRADE INSTRUCTIONS:
Include Ticker, Transaction type (Buy/Sell), Dollar or Share quantity, and any other pertinent trade information.
(Ex: Buy 10 shares of ABC)
(Ex: Sell $15,000 worth of XYZ)
(Ex: Sell all of ABC)

Trade 1 (Please specify Buy/Sell, and Dollars/Shares for all trades)

Trade 2

Trade 3

Trade 4

Trade 5

Trade 6

Trade 7

Trade 8

Trade 9

Trade 10

Additional Trades?

Yes

Trade 11

Trade 12

Trade 13

Trade 14

Trade 15

Trade 16

Trade 17

Trade 18

Trade 19

Trade 20

Sell ALL Shares of the Following

Liquidate All Holdings EXCEPT the Following -- DO NOT SELL

Is this account invested in a model?

Yes

How should we handle the cash from these sales?

Protect the cash from the sale

Reinvest the proceeds into the model

I don't anticipate any cash remaining from the trades

How long should we protect the cash from the sale? (choose an end date)

Full Liquidation Details

By checking the box below, I confirm that I am liquidating the FULL ACCOUNT Value and all positions will be sold.(Required)

I confirm

Should Billing be Removed from the Account?

Yes

Update Billing Details

Billing Update

Update Billing

Remove Billing

Total Fee to Charge Account(Required)

Billing Start Date

Orion Start Date

Trade Settlement Date

Start Date Already Established

Other

The Orion Start Date is set when the account first feeds into Orion with a value other than zero.

Desired Start Date

Please confirm the Branch and Service Rep

Attestations, Attachments, Additional Comments Section

Additional Comments

Note: If you have attempting to update your model to a blended portfolio...and you do not see a "Submit" button below:

Your totals do not add up to 100%. Please readjust your values.

I have fully reviewed this request for accuracy, and trades will be executed based on the instructions given by this form. Any unclear or incomplete information could result in delayed execution due to clarification needed from the trading team.(Required)

I Attest