Receipt & Statement Templates for Financial Services
Fee receipts and quarterly statement layouts for advisors, brokers, RIAs, and financial planners — clear advisory-fee vs commission breakdowns built in.
Financial-services receipts and fee statements are read with a magnifying glass — by clients, by their CPAs, and (for SEC- and state-registered investment advisers) by examiners during a routine audit. These templates are built for registered investment advisers (RIAs), broker-dealers, certified financial planners, fee-only fiduciary advisors, insurance agents, tax preparers, and bookkeepers — the formats include quarterly advisory-fee deduction receipts, hourly financial-planning engagement invoices, flat-fee project receipts (a one-time financial plan), and commission disclosures for product sales.
Separate advisory fees from commissions on the receipt — that's the single most important line in this category. A fiduciary advisor charging a quarterly AUM fee should show the basis (account value at quarter end), the annualized rate, the period, and the fee deducted in dollars; if the advisor also receives commissions on insurance or annuity products, those should be disclosed on a separate line so the client (and their accountant) can see exactly how the advisor was compensated. Hourly engagements should show rate × hours and a description of the work performed ("financial plan review and tax-projection scenarios") rather than a generic "consulting" line — the latter is harder to substantiate and harder to expense.
For fiduciary advisors in particular, the receipt is part of your Form ADV Part 2A disclosure surface — it should match the fee schedule you've published, and any deviation needs a written explanation in your file. For commission-based products, US regulators (FINRA, state insurance departments) increasingly require commission disclosure on the customer-facing document, not just in a back-office record. These templates provide the layout; the regulatory disclosures themselves are jurisdiction-specific and should be reviewed by your compliance officer or general counsel before going live.
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Other use cases
- Small Business
- Freelancers
- Ecommerce Sellers
- Landlords
- Restaurants
- Rideshare Drivers
- Personal Expense Tracking
- Design Mockups
- Expense Reimbursement
- Tax Records
- Beauty & Wellness
- Nonprofits & Charities
- Schools & Education
- Entertainment Venues
- Healthcare Providers
- Hotels & Hospitality
- Parking Operators
- Pharmacies
- Tolls & Transit
Frequently Asked Questions
How should advisory fees be shown vs. commissions on a receipt?
Always on separate lines. A fee-only fiduciary AUM fee should show the basis (account value at quarter end), the annualized rate, the period, and the fee in dollars. If the advisor also receives commissions on insurance or annuity products, list those on a separate line so the client and their accountant can see exactly how the advisor was compensated.
What does a fiduciary advisor need to disclose on a fee receipt?
The fee schedule on the receipt should match what's published in your Form ADV Part 2A. Any deviation needs a written explanation in the client file. Many states and the SEC also expect fee deductions from custodied accounts to be itemized on the quarterly statement, and the receipt is the customer-facing version of that line.
Are these templates a substitute for compliance review by a CCO or counsel?
No. These templates provide the layout — not the regulatory disclosures, which are jurisdiction-specific (SEC, FINRA, state securities, state insurance) and change as rules evolve. Have your chief compliance officer or general counsel review the disclosures, fee schedule, and conflict-of-interest language on the customer-facing document before it goes live.