Ask the client for records that describe both their awards and what has happened to them. A current balance alone may not contain the dates and values needed for planning.
Request these records
Grant agreements or award statements: award type, grant identifier, grant date, quantity, and option strike/expiration dates.
Vesting schedules: vest dates and quantities, including amendments or performance conditions.
Current holdings or lot details: acquisition dates, remaining shares, and basis information.
Transaction history: exercises, sales, share withholding, cancellations, and transfers.
ESPP purchase records, where applicable: offering/purchase dates, purchase price, FMV, and shares.
Relevant company valuation and trading restrictions, especially for private companies.
Use the client's equity platform's document, statement, or activity-export area. Names vary by provider. Ask for an export or readable document instead of account credentials.
Check completeness
Reconcile grants, vested/unvested quantities, and held shares. A share count can differ because some shares were sold or withheld. Look for an as-of date and check whether a recent event is missing from the statement.
For tax planning, also gather the relevant tax return, pay information, and dated residency/employment history through your firm's approved process.
Choose an entry method
Use Quick Add for a small number of structured grants, equity CSV import for tabular records, or AI document import for supported documents. Review the preview before committing extracted data.
Never ask a client to send passwords or one-time sign-in codes. See Protect account and client information.