Record of Advice (RoA) Template

A Record of Advice (ROA) is a client document provided by financial planners and advisers to confirm the disclosure of financial advice, typically in cases where a detailed Statement of Advice has been provided previously.

Despite their shorter, simplified format, Record of Advice documents are still an important part of the process; Re-confirming a financial planner's understanding of the client's circumstances and outlining any updates to the recommendations detailed in the original Statement of Advice.