A 15–minute form, covering the same questions your Third Rock Wealth partner would walk through with you. It tells us who you are, what you’re investing for, how you respond to market
ups and downs, and what you already own. Your answers shape the allocation we build with
you. To open this form, please register first; it takes about 30 seconds.
What you’ll need open: your PAN card, bank-account details, and a
rough sense of your goal & horizon. KYC verification happens on our secure platform
after you submit this form — your Third Rock Wealth partner will guide you through it.
Third Rock Wealth · MFD · Mutual Funds
Client Intake Form
A behaviour-anchored profile that drives the allocation framework. Filled jointly by client and Third Rock Wealth partner (about 15–20 minutes when the partner is driving, 30–45 minutes for a first-time client gathering KYC details). Output is a Client_Profile xlsx that uploads cleanly into the Third Rock Wealth Allocation Tool.
Form schema · intake_1.1
SEBI MFD compliant
Pre-operational
Form has 0 issue(s): resolve before downloading
00
Identity & KYC
SEBI MFD baseline
SEBI requires us to verify who you are before we can build your investment plan. Enter your PAN and Aadhaar here; the actual KYC verification happens on our secure platform in a separate step after this form, so we never store your full Aadhaar number ourselves.
Personal
Required.
Required.
Age auto-computes below.
Required.
Required.
Government IDs · PAN · Aadhaar
10-char alphanumeric · format AAAAA9999A.
Invalid PAN format.
Full 12 digits or last 4 for masked capture.
Required.
Required.
If yes, your Third Rock Wealth partner will follow up for the W-8/CRS self-cert form.
Required.
Contact
Enter 10 digits.
Required · valid email.
Required.
Required.
Required.
6 digits.
01
Goal & Horizon
Drives glide path
What are you actually investing for, and by when? “Growing my money” is too vague to plan against; we need a specific goal (retirement, child’s education, a home), a specific horizon (3 years? 10? 20?), and a rough target amount. If the math doesn’t work, we’d rather flag it now than three years from now.
Maps to GOAL_BANDS in the allocation tool. Each goal carries its own equity / debt / gold envelope; risk profile picks the point inside the band. Multi-goal supported; your Third Rock Wealth partner adds more goals in §02 of the allocation tool after intake.
Required.
Free-form label. Bands fall back to Wealth Building unless overridden in the allocation tool.
Drives the glide-path matrix in §04 of the allocation tool.
Required.
What you want this corpus to be worth at the end of the horizon. Triggers a feasibility check.
Required.
Carved out as a Liquid-fund ring-fence before the equity sleeve sizes up.
Required.
Goal feasibility · Third Rock Wealth guideline
This goal may be out of reach
02
Financials & Bank
Income · Source · SIP mandate
An honest sense of your cash flow tells us what’s realistic for you to invest each month and how much cushion you keep for emergencies. Your bank account details let us set up SIP debits once your KYC is approved. Income brackets are wide on purpose; we're looking for context, not precise numbers.
Income & experience
Required.
Anti-money-laundering: distributors must record the origin of investable capital.
Required.
Free-text capture for non-standard sources, especially HNI (FATF guidance).
Required when "Other" is selected.
Required.
SEBI KYC requirement. Maps to the occupation code on your KRA record.
Required.
Required.
Optional; informs HNI-tier rebalance cadence.
Liquid funds + savings + FDs as a multiple of monthly expenses. Capped at 48.
Required (0–48).
Average monthly outflow (rent/EMI + groceries + utilities + lifestyle). Used to compute the SEBI-aligned liquidity reserve floor (3× monthly expenses).
Required.
Investment mode
Required.
Required.
Required when mode includes lump sum.
Required for selected mode.
Required when mode includes SIP.
Required for selected mode.
Bank account · for SIP mandate registration
Must match the form's named applicant.
Required.
Required.
Required.
11-char code starting with bank's 4-letter prefix.
Required.
03
Existing Holdings: Step 0 Audit
Optional · Drives transition planning
A rough breakdown of what you already own, by asset class. We're not asking you to move anything; this just helps your Third Rock Wealth partner see your full picture before building the goal-aligned allocation. Estimates are fine. Leave it blank if you’re starting fresh.
Asset class
Current amount (Rs.)
Equity (incl. ELSS, equity index)
Hybrid / Balanced
Debt (incl. liquid, ultra-short, FDs)
Gold (ETF / Gold Fund / SGB)
International (Overseas FoF / direct)
Existing portfolio total
Rs. 0
04
Risk Questionnaire
5 questions · 0–15 score
Five questions to understand how you actually behave when markets move, not how you think you’d behave. Most risk surveys ask you to rate your tolerance on a scale; we ask what you did in your last drawdown. Honest answers here protect you from the worst mutual-fund mistake: panic-selling at the bottom. Your profile shows as Conservative, Moderate, or Aggressive based on your total score.
Q1In your most recent equity-market drawdown of 15% or more, what did you actually do?
Reveal beats stated preference. If you've never sat through one, score 0.
Q2How long can this corpus stay invested before you'll need to draw on it?
Auto-syncs with the horizon you picked in §01.
Q3How much active investing experience do you have, across any asset class?
Years through at least one full market cycle, not paper-trading or reading newsletters.
Q3aAcross those 7+ years, how did your portfolio do compared to a Nifty50 index fund?
Behaviour-anchored: long experience plus consistent underperformance suggests overconfidence. We adjust the Q3 score based on revealed outcome, not stated tenure.
Q4If this corpus dropped 30% over a year, what would happen to your other commitments: rent, EMIs, school fees?
Behavioural cushion. The harder a 30% drop bites, the more risk-averse your effective profile, regardless of stated tolerance.
Q5Your portfolio is down 18% on paper at year-end. The financial press is grim. How do you feel?
Honest emotional read, not what an investing book says you should feel.
05
Regulatory Declarations
SEBI MFD · mandatory
Four acknowledgements SEBI requires every mutual-fund investor to make, plus a self-declaration on politically-exposed-person status. We’ve broken them into separate ticks (not a single bundled “I agree”) because each one is its own commitment. Take a moment to read each.
PEP self-declaration
I confirm I am not a Politically Exposed Person, am not related to one, and am not a close associate of one. (If you cannot confirm this, leave unchecked; your Third Rock Wealth partner will collect a separate PEP declaration.)
Market-risk acknowledgement · SEBI verbatim
Mutual fund investments are subject to market risks. Please read all scheme-related documents carefully before investing. I acknowledge I have understood this and accept that the value of my investment may fluctuate, including potential loss of principal.
Distributor disclosure · SEBI BER framework
I acknowledge that Third Rock Wealth, in its capacity as a SEBI-registered Mutual Fund Distributor (MFD), will receive trail commission from the Asset Management Companies whose schemes are selected for my portfolio. The commission is paid out of the scheme's expense ratio (BER framework, SEBI Circular SEBI/HO/IMD/IMD-PoD1/P/CIR/2025/115). This represents a conflict of interest that has been disclosed in writing.
Past performance disclaimer · SEBI verbatim
Past performance is not indicative of future returns. I acknowledge that any historical performance, ranking, or alpha figures shared in research dossiers, the allocation tool, or the proposal are descriptive, not predictive.
Alignment acknowledgement
I acknowledge that the fund selections to be made under this engagement will be assessed for alignment with the profile captured in this form. Material changes in my circumstances (income, dependents, horizon, goal) will be communicated promptly so the profile can be refreshed.
06
Nominee
SEBI mandatory · opt-out allowed
Who would inherit your investments? SEBI requires every mutual-fund folio to either name a nominee or explicitly opt out; there is no default. Most investors name a spouse, parent, or child. You can update this later by writing to the AMCs.
Required when nominee is provided.
Required when nominee is provided.
If minor, your Third Rock Wealth partner will record guardian.
Required when nominee is provided.
07
Consent & Sign-off
Data sharing · Communication · Signature
A few final consents required by SEBI and India's Digital Personal Data Protection Act 2023. Each is a separate, deliberate tick; you are not signing one blanket agreement.
Data use & storage consent
I consent to Third Rock Wealth collecting, storing, and processing the information in this form for the purpose of building my investment plan and meeting SEBI / AMFI compliance requirements, under India's Digital Personal Data Protection Act 2023. I understand my data is stored on Third Rock Wealth's servers (not shared with third parties beyond the AMCs and KYC registries listed below), and that I can withdraw consent or request deletion at any time by emailing privacy@thirdrockwealth.com.
AMC data-sharing consent
I consent to my KYC and transaction details being shared with the Asset Management Companies (AMCs) whose schemes I subscribe to, for the purpose of processing my orders, generating statements, and meeting statutory communication requirements.
KYC registry consent
I authorise Third Rock Wealth to register my KYC with a SEBI-registered KYC Registration Agency (KRA) and to fetch my existing KYC, if any, from CDSL Ventures, NSDL Database Management, CAMS KRA, or Karvy KRA. My KYC verification itself is completed on Third Rock Wealth’s secure platform in a separate process that opens after I submit this form.
Required.
Accuracy attestation
I confirm that all the information provided in this form is true, complete, and accurate to the best of my knowledge. I understand that inaccurate information may produce an allocation that is misaligned with my actual circumstances.
Signature block
Type your full legal name as a digital signature.
Required.
Required.
Click Submit your intake to send your profile securely to Third Rock Wealth. Your details are stored on our servers (not on your device), reviewed by your Third Rock Wealth partner, and used to build the allocation we discuss with you next. The Print button creates a paper copy of your answers for your own records.
Third Rock Wealth · Client Intake · intake_1.1 · single-file · client-side