Annual Review Meeting

Section 1 of 9

Client Information

Please provide your details so we can prepare for your annual review meeting.

First Name *

Last Name *

Spouse / Partner Name

Date of Meeting *

Email Address *

Phone Number

Financial Advisor

Section 2 of 9

Overall Review & Life Changes

Check any items that apply since our last review.

Overall

I would like to review my situation due to major tax law changes, changes in financial markets, interest rates, global/political situations, or changes in my personal/business situation.

Changes in Valuation

The value of my estate has changed more than 10% in the last two years.

Health

My health (or my spouse’s or children’s health) has deteriorated substantially in the last year.

Children / Grandchildren

A child or grandchild has been born/adopted since our last review.I would like to review or begin a funding program for my children’s college education.A child, grandchild, or other dependent has become handicapped or seriously injured since our last review.

Family Status

A member of the family has divorced or separated since our last review.

Section 8 of 9

Additional Notes

Share any other topics or concerns you’d like to address during your review.

Topics or Questions for Discussion

Changes Since Last Review

Documents to Bring or Prepare

Securely Upload Documents for Review

Have documents ready for your meeting? Upload tax returns, estate documents, statements, or any files you'd like your advisor to review in advance.

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Section 9 of 9

Consent & Submission

Review the disclosures below, provide your electronic signature, and submit.

Data Protection & Privacy

At Northern Pacific Asset Management, LLC., we deeply value the trust you place in us by sharing your personal and confidential information. This statement is a concise overview of our comprehensive Privacy Policy, tailored to the context of your interaction with our Annual Review Meeting Form.

Key Aspects of Our Privacy Approach:

1. Personal Information Handling

In line with our Privacy Policy, we collect personal information such as contact details, financial and commercial information, internet or electronic activity data, and other identifiers. This information is essential for offering and providing our services, operating our business, and ensuring compliance with legal obligations.

2. Purposeful Data Utilization

The information you provide is used to understand and meet your financial needs, facilitate transactions, improve our services, and maintain the security of our networks and systems. We do not sell your personal information for third-party promotional purposes.

3. Data Security Measures

Secured with AES-256-bit encryption. Your data is transmitted directly to Northern Pacific Asset Management.

4. Disclosure and Sharing of Information

Consistent with our Privacy Policy, we may disclose personal information to service providers, business partners, and governmental authorities as necessary for business operations, legal compliance, and service provision.

5. Your Privacy Rights

You have rights regarding your personal information, including the right to access, update, and request deletion. Our practices align with federal and state laws, including the California Consumer Privacy Act (CCPA), ensuring your right to non-discrimination in services.

6. Ongoing Updates and Transparency

Our Privacy Policy may be updated periodically. We commit to keeping you informed of any significant changes and encourage you to review the policy regularly.

For a full understanding of how we manage and protect your personal information, we encourage you to review Osaic Wealth, Inc. detailed Privacy Policy.

If you have any questions or concerns regarding the handling of your data, please do not hesitate to contact our customer service team. Trust and transparency are the pillars of our relationship with you.

Thank you for your trust in Northern Pacific Asset Management, LLC.

Legal Disclosure

This form is provided for informational purposes only and does not constitute investment, legal, or tax advice. The information you provide will be used to facilitate your annual review discussion and does not create or modify any advisory agreement. All investments involve the risk of potential investment losses and no strategy can assure a profit. Please consult with a qualified professional for specific legal, tax, or accounting advice. Northern Pacific Asset Management and Osaic Wealth do not provide tax or legal advice.

I consent to the collection and use of my personal and financial information as described in the Data Protection & Privacy disclosure above and the Osaic Privacy Policy.I confirm that the information provided in this form is accurate to the best of my knowledge and understand it will be used to prepare for my annual review meeting.

Electronic Signature (Type Full Name) *

Date *

Thank You!

Your annual review form has been submitted successfully. Your advisory team at Northern Pacific Asset Management will review your responses and prepare for a productive conversation.

A confirmation will be sent to the email you provided. If you need to make changes, please contact your advisor directly at (832) 559-3771.

Client Information

Overall Review & Life Changes

Insurance & Risk Management

Retirement & Income Planning

Investment Review

Estate Planning

Gifting, Charitable Giving & Business

Additional Notes

Consent & Submission

Data Protection & Privacy

Legal Disclosure

Thank You!