> For the complete documentation index, see [llms.txt](https://docs.uptiq.ai/llms.txt). Markdown versions of documentation pages are available by appending `.md` to page URLs; this page is available as [Markdown](https://docs.uptiq.ai/document-ai/guides-1/document-types.md). # Document Types Document Types is the reference and configuration layer behind [Document Extraction](/document-ai/guides-1/document-extraction.md), [Document Classification](/document-ai/guides-1/document-classification.md), and [Fraud Detection](/document-ai/guides-1/fraud-detection.md). It shows every supported document type grouped by category, the extraction field schema for each, the specific form variants available, and the fraud detection templates recommended for that type. Find Document Types under **PLATFORM** in the sidebar. Everyone in the account can view the complete 154-type registry.

Manage Document Types — search the catalog, then review each type's code, name, category, description and certification status, with Export certification report above the list

| Capability | Description | Limit | | -------------------------- | ---------------------------------------------------------------------------------------------------------------------- | ----------------------------------------------------------------------------------------------------------------------------------- | | Browse by category | View all document types grouped by category (tax, financial, identity, and so on) | None stated | | Form variants | Expand a document type to see nested form variants (for example, Schedule A/B/C, Form 1040, 1065) with available years | 39 of the 154 types are IRS tax forms or schedules (1040/1065/1120, Schedules A–F, K-1, M-1/2/3), each listed as a first-class type | | Field schema | View the extraction field schema for a document type | None stated | | Fraud template association | View the recommended fraud detection templates for a document type | None stated | | Search & filter | Search by document type or form name | None stated | | Certification tracking | View certification status per form (all roles); manage or edit it | Editing is available to Owner and Admin only. Member has no edit control, and Viewer sees a read-only eye icon | | Certification export | Export certification records | Owner and Admin only. **Export** is not available to Member or Viewer | ### Workflow 1. **Browse** — open Document Types to see the full catalog, grouped by category. 2. **Drill in** — expand a document type to see its form variants (where applicable) and the years available for each. 3. **Review the schema** — check the extraction field schema to understand what fields will be extracted for that type. 4. **Check fraud coverage** — view which fraud detection templates are recommended for that document type, and jump to [Fraud Detection](/document-ai/guides-1/fraud-detection.md) to configure them. 5. **Manage certification** (Owner/Admin) — track certification status per form from **Certification Status**, opened with the pencil icon next to a type's certification badge, and export certification records as needed. Member and Viewer can view certification status but cannot edit it or export records. ### Complete Document Type Registry This section is the page's single source of truth for supported document types. It holds **155 entries covering 154 distinct types**, split into 8 tables by product line. `SCHEDULE C(FORM 1040)` is the one type listed twice — it appears under both Business and Personal tax returns, because the same form serves both filings. Each type is placed in the narrowest applicable product line, applied in this order: tax forms first, then Wealth/Investment, then Universal, then a single loan type, then commercial-only combinations, then consumer-only combinations, and finally types that span both. | Table | Count | Definition | | ---------------------------------- | ------- | --------------------------------------------------------------------------------------------------------------- | | Universal (All Products) | 38 | Applies to every lending product. Loan Type = Universal. | | Commercial Lending (Multi-Product) | 27 | Shared across two or more of C\&I / SBA / CRE / Equipment. No single commercial product owns these. | | CRE Lending | 11 | CRE Lending only. | | Equipment / Asset-Based Finance | 1 | Equipment / Asset-Based Finance only. | | Consumer & Retail Lending | 9 | Retail/Consumer, Mortgage/Residential, Auto and Student lending — single-product or consumer-only combinations. | | Cross-Segment | 5 | Spans both commercial and consumer product lines. | | Wealth & Investment | 24 | Non-lending. Grouped by the existing Wealth/Investment sub-category. | | Tax Forms | 40 | IRS tax forms and schedules, split by personal vs business filing. 39 distinct types. | | **Total** | **155** | 154 distinct types | #### Universal (All Products) Applies to every lending product. Loan Type = Universal. · **38 types** | Document Name | Type Code | Description | Loan Type(s) | Lifecycle Stage(s) | Region | | ---------------------------- | ---------------------------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------ | ------------------------------------------- | ------------- | | Aadhaar Card | `AadhaarCard` | Indian government-issued 12-digit biometric identity document issued by UIDAI | Universal | Intake/Application; Underwriting | India | | Articles Of Incorporation | `ArticlesOfIncorporation` | Legal document establishing entity formation (corporation, LLC, partnership) with governance and registration details | Universal | Intake/Application; Underwriting | Global | | Background Report Business | `BackgroundReportBusiness` | Background check report on a business entity including history and compliance | Universal | Underwriting | Global | | Balance Sheet | `BalanceSheet` | Financial statement showing assets, liabilities, and equity at a point in time | Universal | Underwriting; Servicing/Monitoring | Global | | Bank Forms | `BankForms` | Standardized banking forms such as account applications and authorization forms | Universal | Intake/Application; Closing/Documentation | Global | | Bank Forms Raw | `BankFormsRaw` | Raw banking form data extraction without structured processing | Universal | Intake/Application; Closing/Documentation | Global | | Bank Statements | `BankStatements` | Monthly or periodic statements showing account transactions and balances | Universal | Intake/Application; Underwriting | Global | | Bank Statements Raw | `BankStatementsRaw` | Raw bank statement data extraction without structured processing | Universal | Intake/Application; Underwriting | Global | | Birth Certificate | `BirthCertificate` | Official birth registration document issued by civil authorities (India and United States) | Universal | Intake/Application | Global | | Certificate Of Insurance | `CertificateOfInsurance` | Document proving insurance coverage with policy details and limits | Universal | Closing/Documentation; Servicing/Monitoring | Global | | Credit Memo | `CreditMemo` | Document recording a credit issued to a customer account | Universal | Underwriting | Global | | Credit Policy | `CreditPolicy` | Internal bank credit/loan policy manual that defines lending rules, ratio thresholds, and underwriting standards per product | Universal | Underwriting | Global | | Credit Report | `CreditReport` | Generic credit report for individuals or businesses | Universal | Underwriting | Global | | Driving License | `DrivingLicense` | US state-issued driver's license or ID card for identity verification | Universal | Intake/Application | Global | | Form1099 | `Form1099` | IRS 1099 Information Return Series - unified extraction for 1099-B, 1099-DIV, 1099-INT, 1099-R, and 1099-S | Universal | Underwriting | United States | | Form4506 C | `Form4506C` | IRS Form 4506-C - IVES Request for Transcript of Tax Return for mortgage lending | Universal | Underwriting | United States | | Form5498 | `Form5498` | IRS Form 5498 IRA Contribution Information for retirement account contribution and valuation verification | Universal | Underwriting | United States | | Insurance Policy | `InsurancePolicy` | Insurance document proving life, disability, health, or long-term care policy coverage with physical profiles, risk manifests, and compliance details | Universal | Closing/Documentation; Servicing/Monitoring | Global | | Loan Agreement | `LoanAgreement` | Legal contract defining loan terms, covenants, and repayment obligations | Universal | Closing/Documentation | Global | | Other | `Other` | Generic document type for unclassified documents | Universal | N/A | Global | | Other With Metadata | `OtherWithMetadata` | Generic document type with enhanced metadata extraction | Universal | N/A | Global | | PAN Card | `PANCard` | Permanent Account Number card issued by the Indian Income Tax Department for tax identification | Universal | Intake/Application | India | | Passport | `Passport` | Government-issued passport for identity verification and travel authorization | Universal | Intake/Application | Global | | Personal Background Report | `PersonalBackgroundReport` | Background check report on an individual including history and records | Universal | Underwriting | Global | | Personal Credit Report | `PersonalCreditReport` | Personal credit report using canonical CR v6 extraction schema and handlers | Universal | Underwriting | Global | | Personal Financial Statement | `PersonalFinancialStatement` | Statement of personal assets, liabilities, income, and expenses | Universal | Underwriting | Global | | Personal Tax Return | `PersonalTaxReturn` | Personal tax return documents (1040, Schedule C, etc.) | Universal | Underwriting | Global | | SSN\_ITIN | `SSN_ITIN` | US Social Security Number card or Individual Taxpayer Identification Number notice/letter issued by SSA or IRS | Universal | Intake/Application | United States | | Standards Document | `StandardsDocument` | Technical standards or specification documents | Universal | N/A | Global | | State ID | `StateID` | US state-issued non-driver identification card for identity verification | Universal | Intake/Application | United States | | Trust And Entity Formation | `TrustAndEntityFormation` | Trust certification and entity formation documents for account titling at financial institutions | Universal | Intake/Application | Global | | Utility Bill | `UtilityBill` | Utility Bill (electric, gas, water, sewer, or municipal services statement) used for proof of residency and asset-occupancy verification, covering issuer identification, account identity and service/billing addresses, ledger balances and settlement rules, per-service charge breakdown, and meter / consumption telemetry | Universal | Intake/Application | Global | | Voided Check | `VoidedCheck` | Voided check used to verify bank account information | Universal | Closing/Documentation | Global | | Voter ID | `VoterID` | Electors Photo Identity Card (EPIC) issued by the Election Commission of India | Universal | Intake/Application | India | | W2 | `W2` | IRS Form W-2 Wage and Tax Statement for income and employment verification | Universal | Underwriting | United States | | W8 BEN | `W8BEN` | IRS Form W-8BEN Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding and Reporting (Individuals) | Universal | Underwriting; Closing/Documentation | United States | | W8 BENE | `W8BENE` | IRS Form W-8BEN-E Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding and Reporting (Entities) | Universal | Underwriting; Closing/Documentation | United States | | W9 | `W9` | IRS Form W-9 Request for Taxpayer Identification Number and Certification for identity and tax compliance verification | Universal | Intake/Application; Underwriting | United States | #### Commercial Lending (Multi-Product) Shared across two or more of C\&I / SBA / CRE / Equipment. No single commercial product owns these. · **27 types** | Document Name | Type Code | Description | Loan Type(s) | Lifecycle Stage(s) | Region | | ------------------------------------ | ----------------------------------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | --------------------------------------------------------------------- | ------------------------------------------- | ------------- | | Account Receivables Aging Report | `AccountReceivablesAgingReport` | Aging report showing outstanding customer invoices categorized by days past due | C\&I Lending; Equipment/Asset-Based Finance | Underwriting; Servicing/Monitoring | Global | | Accounts Payable Aging Report | `AccountsPayableAgingReport` | Aging report showing outstanding vendor bills categorized by days past due | C\&I Lending; Equipment/Asset-Based Finance | Underwriting; Servicing/Monitoring | Global | | Audit Notes | `AuditNotes` | Notes and findings from audit reports, including notes to financial statements | C\&I Lending; CRE Lending | Underwriting | Global | | Audited Business Financial Statement | `AuditedBusinessFinancialStatement` | Financial statements reviewed and certified by an independent auditor | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | Global | | Business Credit Report | `BusinessCreditReport` | Credit report detailing a business entity's credit history and score | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | Global | | Business Debt Schedule | `BusinessDebtSchedule` | Schedule listing all business debts with terms, balances, and payment details | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting; Servicing/Monitoring | Global | | Business Financial Statement | `BusinessFinancialStatement` | Combined financial statements including balance sheet, income statement, and cash flow | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting; Servicing/Monitoring | Global | | Business Inventory Schedule | `BusinessInventorySchedule` | Detailed listing of business inventory items with quantities and values | C\&I Lending; Equipment/Asset-Based Finance | Underwriting; Servicing/Monitoring | Global | | Business Plan | `BusinessPlan` | Document outlining business strategy, market analysis, and financial projections | SBA Lending; C\&I Lending; Equipment/Asset-Based Finance | Intake/Application; Underwriting | Global | | Business Tax Return | `BusinessTaxReturn` | Business tax return documents (1065, 1120, 1120S, K-1, 8825, etc.) | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | Global | | Capitalization Table | `CapitalizationTable` | Table showing company ownership structure, equity stakes, and share classes | C\&I Lending; SBA Lending | Underwriting | Global | | Cash Flow Statement | `CashFlowStatement` | Financial statement showing cash inflows and outflows over a period | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting; Servicing/Monitoring | Global | | Credit Agreement | `CreditAgreement` | Corporate Credit Agreement — syndicated revolving credit facility, term loan, or delayed draw facility defining commitment limits, pricing matrix (SOFR/Prime), financial covenants, default terms, and borrowing mechanics for multi-million to multi-billion dollar institutional credit lines | C\&I Lending; CRE Lending; SBA Lending; Equipment/Asset-Based Finance | Closing/Documentation | Global | | Customer Contract | `CustomerContract` | Legal agreement between a business and its customer for goods or services | C\&I Lending; Equipment/Asset-Based Finance | Underwriting | Global | | Customer List | `CustomerList` | List of customers with contact information and business details | C\&I Lending; Equipment/Asset-Based Finance | Underwriting | Global | | Engineering Report | `EngineeringReport` | Technical assessment report on property structural and mechanical systems with condition ratings and capital expenditure forecasts | CRE Lending; Equipment/Asset-Based Finance | Underwriting | Global | | Fixed Assets Schedule | `FixedAssetsSchedule` | Schedule of long-term assets with acquisition dates, costs, and depreciation | Equipment/Asset-Based Finance; C\&I Lending | Underwriting; Servicing/Monitoring | Global | | LOI | `LOI` | Preliminary agreement outlining transaction terms between buyer and seller | C\&I Lending; CRE Lending; SBA Lending; Equipment/Asset-Based Finance | Intake/Application | Global | | Lease Agreement | `LeaseAgreement` | Residential lease agreement defining occupancy, rent, deposit, late fees, utilities, pet terms, and execution signatures for residential tenants | CRE Lending; Equipment/Asset-Based Finance | Underwriting; Closing/Documentation | Global | | Management Resumes | `ManagementResumes` | Professional resumes of company management and key personnel | SBA Lending; C\&I Lending; Equipment/Asset-Based Finance | Underwriting | Global | | Partnership Agreements | `PartnershipAgreements` | Legal document defining ownership, governance, and profit/loss distribution among partners/members | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Intake/Application; Underwriting | Global | | Profit And Loss Statement | `ProfitAndLossStatement` | Financial statement showing revenues, expenses, and net income over a period | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting; Servicing/Monitoring | Global | | Safer | `Safer` | FMCSA SAFER report showing carrier safety and compliance information | Equipment/Asset-Based Finance; C\&I Lending | Underwriting | United States | | Secretary Of State | `SecretaryOfState` | Official state filing documents for business entity registration | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Intake/Application; Underwriting | United States | | Sources And Use Of Funds | `SourcesAndUseOfFunds` | Statement showing where funds come from and how they will be used | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting; Closing/Documentation | Global | | Statements Of Information | `StatementsOfInformation` | Official state filing containing entity and officer details for identity validation | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Intake/Application; Underwriting | United States | | UCC Filing | `UCCFiling` | Legal record of secured interest (lien) with debtor, secured party, and collateral details | Equipment/Asset-Based Finance; C\&I Lending | Closing/Documentation; Servicing/Monitoring | United States | #### CRE Lending CRE Lending only. · **11 types** | Document Name | Type Code | Description | Loan Type(s) | Lifecycle Stage(s) | Region | | -------------------------------------- | ------------------------------------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | ------------ | ----------------------------------- | ------------- | | Co Star Report | `CoStarReport` | Comprehensive handler for CoStar Market Reports across multiple asset classes (Office, Retail, Multifamily, Industrial, Hospitality, Land). Handles property type classification, page-to-section mapping, and iterative extraction. | CRE Lending | Underwriting | United States | | Commercial Appraisal Report | `CommercialAppraisalReport` | Professional valuation report for commercial real estate property with comprehensive valuation approaches | CRE Lending | Underwriting | Global | | Environment Report | `EnvironmentReport` | Environmental assessment report including Phase I/II studies with risk classification and compliance status | CRE Lending | Underwriting | Global | | Pro Forma Property Operating Statement | `ProFormaPropertyOperatingStatement` | Pro Forma Property Operating Statement showing projected or forecasted income and expenses for a real estate property | CRE Lending | Underwriting | Global | | Property Comparables | `PropertyComparables` | Property comparables analysis including rent comps and sales comps | CRE Lending | Underwriting | Global | | Property Operating Statement | `PropertyOperatingStatement` | Financial statement showing income and expenses for a real estate property | CRE Lending | Underwriting; Servicing/Monitoring | Global | | Rent Comps | `RentComps` | Rental comparables for property analysis including competitive peer properties and rental pricing metrics | CRE Lending | Underwriting | Global | | Rent Roll | `RentRoll` | Schedule of rental units with tenant information, lease terms, and rent amounts | CRE Lending | Underwriting; Servicing/Monitoring | Global | | STR Report | `STRReport` | Smith Travel Research (STR) hospitality performance reports showing occupancy, ADR, and RevPAR for a subject property benchmarked against its competitive set, metro, and submarket. May be combined with a CoStar hospitality section in the same workbook. | CRE Lending | Underwriting | Global | | Sales Comps | `SalesComps` | Sales comparables for property analysis including transaction pricing and valuation metrics | CRE Lending | Underwriting | Global | | Signed Lease Contract | `SignedLeaseContract` | Legally binding rental agreement defining lease terms, rent, and tenant/landlord obligations | CRE Lending | Closing/Documentation; Underwriting | Global | #### Equipment / Asset-Based Finance Equipment / Asset-Based Finance only. · **1 types** | Document Name | Type Code | Description | Loan Type(s) | Lifecycle Stage(s) | Region | | ----------------------- | ---------------------- | ---------------------------------------------------------- | ----------------------------- | ----------------------------------- | ------ | | Vendor Quote Or Invoice | `VendorQuoteOrInvoice` | Price quote or invoice from a vendor for goods or services | Equipment/Asset-Based Finance | Underwriting; Closing/Documentation | Global | #### Consumer & Retail Lending Retail/Consumer, Mortgage/Residential, Auto and Student lending — single-product or consumer-only combinations. · **9 types** | Document Name | Type Code | Description | Loan Type(s) | Lifecycle Stage(s) | Region | | ------------------------------- | ------------------------------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------------------------------------------------------------------ | ----------------------------------------- | ------------- | | Auto Loan | `AutoLoan` | Automobile Loan Application and Purchase/Sale Agreement for consumer and commercial auto credit underwriting, vehicle collateral identification, and debt obligation structuring | Auto Lending | Intake/Application; Closing/Documentation | Global | | Guardianship Or Conservatorship | `GuardianshipOrConservatorship` | Legal form establishing conservatorship or guardianship authority over annuity contracts on behalf of an incapacitated contract owner | Retail/Consumer Lending; Mortgage/Residential Lending | Closing/Documentation | Global | | Loan Estimate | `LoanEstimate` | CFPB Loan Estimate - standardized mortgage disclosure form (TILA-RESPA Integrated Disclosure) | Mortgage/Residential Lending | Intake/Application | United States | | Mortgage Statement | `MortgageStatement` | Monthly mortgage loan billing statement for income/liability verification | Mortgage/Residential Lending | Servicing/Monitoring | Global | | Paystubs | `Paystubs` | Employee earnings statement / payslip (paystub) for income verification | Retail/Consumer Lending; Mortgage/Residential Lending; Auto Lending; Student Lending | Underwriting | Global | | Powers Of Attorney | `PowersOfAttorney` | Legal document granting authority to act on behalf of another party — covers both Vehicle/Limited POA and Financial/Durable POA subtypes | Retail/Consumer Lending; Mortgage/Residential Lending | Closing/Documentation | Global | | Salary Slip Indian | `SalarySlipIndian` | Indian salary slip / payslip for income verification and employment validation | Retail/Consumer Lending; Mortgage/Residential Lending; Auto Lending | Underwriting | India | | Student Loan | `StudentLoan` | Student Loan Account Statement, Loan Verification Letter, Payoff Statement, or Interest Summary for educational debt underwriting, repayment analysis, and net worth assessment | Student Lending | Intake/Application; Servicing/Monitoring | Global | | Trust Agreement | `TrustAgreement` | Trust agreement establishing a fiduciary relationship for wealth management, asset protection, and estate planning | Retail/Consumer Lending; Mortgage/Residential Lending | Closing/Documentation | Global | #### Cross-Segment Spans both commercial and consumer product lines. · **5 types** | Document Name | Type Code | Description | Loan Type(s) | Lifecycle Stage(s) | Region | | --------------------------- | --------------------------- | ----------------------------------------------------------------------------------------------- | -------------------------------------------------------- | ------------------------------------------- | ------------- | | Flood Insurance Certificate | `FloodInsuranceCertificate` | Flood insurance policy declarations page showing coverage, premiums, and NFIP compliance data | CRE Lending; Mortgage/Residential Lending | Closing/Documentation; Servicing/Monitoring | United States | | Flood Investigation | `FloodInvestigation` | FEMA Flood Determination / Flood Investigation Report for commercial lending compliance | CRE Lending; Mortgage/Residential Lending | Underwriting | United States | | Property Insurance | `PropertyInsurance` | Insurance document proving property coverage with policy details, limits, and lender protection | CRE Lending; Mortgage/Residential Lending | Closing/Documentation; Servicing/Monitoring | Global | | Title Copy | `TitleCopy` | Vehicle title document showing ownership and registration details | Auto Lending; Mortgage/Residential Lending; CRE Lending | Closing/Documentation | Global | | Vendor Wiring Instructions | `VendorWiringInstructions` | Bank wiring instructions provided by a vendor for payments | Equipment/Asset-Based Finance; CRE Lending; Auto Lending | Closing/Documentation | Global | #### Wealth & Investment Non-lending. Grouped by the existing Wealth/Investment sub-category. · **24 types** **Account Opening & Administration (4)** | Document Name | Type Code | Description | Lifecycle Stage(s) | Region | | ------------------------------- | ------------------------------- | ---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------ | ------------- | | ACAT Account Transfer Form | `ACATAccountTransferForm` | Legal instructions to transfer securities and cash balances between financial institutions via ACATS or manual rails. | N/A | United States | | Investment Management Agreement | `InvestmentManagementAgreement` | Legal agreement establishing fiduciary investment advisory services between an investment manager/advisor and a client, defining scope of authority, fee structure, asset allocation constraints, and regulatory compliance requirements | N/A | Global | | Margin Account Agreement | `MarginAccountAgreement` | Brokerage Account Agreement covering cash, margin, and options configurations — legally binding contract defining leverage limits, hypothecation rules, options tiers, and liquidation triggers | N/A | Global | | New Account Application | `NewAccountApplication` | Primary legal onboarding instrument for establishing financial relationships with wealth management firms, broker-dealers, and custodians capturing personal biographics, financial metrics, risk tolerance, and regulatory disclosures | N/A | Global | **Fees & Billing (2)** | Document Name | Type Code | Description | Lifecycle Stage(s) | Region | | --------------------- | --------------------- | --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------ | ------ | | Fee Billing Statement | `FeeBillingStatement` | Wealth Management Advisory Fee Billing Statement — institutional tariff master blueprint detailing custody fees, account maintenance billing cycles, asset advisory fee grids, brokerage execution ticket dynamics, Lombard leverage structures, and fiduciary trust vehicle management costs | N/A | Global | | Fee Schedule | `FeeSchedule` | Advisory / wrap-fee program fee schedule or account & service fee disclosure | N/A | Global | **Portfolio & Trade Reporting (4)** | Document Name | Type Code | Description | Lifecycle Stage(s) | Region | | -------------------------------------- | ------------------------------------- | ---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------ | ------ | | Benchmark Attribution Report | `BenchmarkAttributionReport` | Benchmark Attribution and Performance Review Report from institutional investment consultants detailing multi-asset allocation, performance metrics, attribution analysis, and compliance with strategic targets for large-scale pension/foundation underwriting | N/A | Global | | Consolidated Multi Custodian Statement | `ConsolidatedMultiCustodianStatement` | Consolidated Multi-Custodian Statement aggregating holdings, transactions, and valuations from disparate financial institutions into a unified portfolio view for collateral assessment, net worth verification, and securities-based lending underwriting | N/A | Global | | Portfolio Holdings | `PortfolioHoldings` | Portfolio Holdings and Positions Report from wealth management platforms (Morningstar, J.P. Morgan) detailing investor asset allocation, underlying security positions, fee structures, and risk-adjusted performance metrics | N/A | Global | | Trade Confirmations | `TradeConfirmations` | Broker-dealer securities trade confirmation for transaction verification | N/A | Global | **Private Markets / Fund Administration (6)** | Document Name | Type Code | Description | Lifecycle Stage(s) | Region | | --------------------------------------------- | ------------------------------------------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------ | ------ | | Capital Call Notices | `CapitalCallNotices` | Capital Call Notice (Drawdown Notice) issued by a fund General Partner to a Limited Partner requesting contribution of committed capital, covering notice metadata, legal identities, commitment ledger balances, drawdown itemization, investment narrative, and wire instructions | N/A | Global | | Distribution Notice | `DistributionNotice` | Distribution Notice (Distribution / Liquidation Notice) issued by a fund General Partner to a Limited Partner returning capital, gains, income, or in-kind securities, covering notice metadata, legal identities, fund-level realization, cash and stock distribution splits, GP fees and offsets, commitment ledger balances, and settlement / wire routing | N/A | Global | | ILPA Style Partner Capital Account Statements | `ILPAStylePartnerCapitalAccountStatements` | ILPA-standard Partnership Capital Account Statements issued by General Partners to Limited Partners, showing capital account activity, management fees, partnership expenses, incentive allocations, commitment reconciliation, and fund-level performance across QTD, YTD, and Since Inception periods | N/A | Global | | Pitch Book | `PitchBook` | Pitch Book or Fixed Income Investor Presentation from asset managers and fund sponsors disclosing corporate financial standings, portfolio metrics, lending characteristics, liquidity profiles, and management credentials for capital allocation and counterparty underwriting assessment | N/A | Global | | Side Letter | `SideLetter` | Legal agreement modifying terms of partnership or fund agreements, including GCMSA collateral management, retirement system, and enterprise capital fund side letters | N/A | Global | | Subscription Document | `SubscriptionDocument` | Subscription Document Package — Subscription Agreement, investor profile registry, securities suitability questionnaire, and binding commitment for alternative asset onboarding and private investment vehicle admissions | N/A | Global | **Retirement, Trust & Estate Planning (5)** | Document Name | Type Code | Description | Lifecycle Stage(s) | Region | | ------------------------------------------- | -------------------------------------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------ | ------------- | | Beneficiary Designation | `BeneficiaryDesignation` | Legal wealth management document establishing immediate, non-probate asset succession for IRA, TOD, and custodian accounts with named primary and contingent beneficiaries | N/A | Global | | Brokerage Retirement Statement | `BrokerageRetirementStatement` | Brokerage and retirement account statements (401k, IRA, ESOP, 529, taxable brokerage) | N/A | Global | | Five Two Nine Age Of Majority Election Form | `FiveTwoNineAgeOfMajorityElectionForm` | Wealth management election form transferring 529 education savings account ownership from custodian to beneficiary upon reaching age of majority | N/A | United States | | RMD Request Form | `RMDRequestForm` | IRS Required Minimum Distribution (RMD) Request Form for retirement account distribution authorization and tax withholding | N/A | United States | | Special Needs Trusts | `SpecialNeedsTrusts` | Special Needs Trust legal documents for disability asset shelter, including attorney certifications and trust agreements | N/A | Global | **Suitability & Investment Policy (3)** | Document Name | Type Code | Description | Lifecycle Stage(s) | Region | | --------------------------- | --------------------------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | ------------------ | ------ | | Investment Policy Statement | `InvestmentPolicyStatement` | Investment Policy Statement (IPS) detailing investment objectives, risk tolerance, asset allocation strategy, and operational protocols for individual or institutional wealth management | N/A | Global | | Investment Proposal | `InvestmentProposal` | Investment Proposal from wealth management or asset management firms detailing custom portfolio strategy, asset allocation framework, performance simulations, fee structures, and tax projections for client capital deployment and underwriting suitability assessment | N/A | Global | | Risk Tolerance | `RiskTolerance` | Risk Tolerance Questionnaire / Investor Risk Profile Assessment used by wealth management advisers to evaluate client investment objectives, time horizons, loss tolerance, volatility preferences, and recommended portfolio allocations | N/A | Global | #### Tax Forms IRS tax forms and schedules. Tax Return Type gives the personal vs business split. · **40 entries, 39 distinct types** **Business Tax Return (28)** | Document Name | Type Code | Description | Loan Type(s) | Lifecycle Stage(s) | Region | | -------------------------- | --------------------------- | ------------------------------------------------------------------------------------------- | --------------------------------------------------------------------- | ------------------ | ------------- | | Form 1065 | `FORM 1065` | U.S. Return of Partnership Income — annual information return for partnerships. | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Form 1120 | `FORM 1120` | U.S. Corporation Income Tax Return — annual income tax return for C corporations. | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Form 1120-S | `FORM 1120-S` | U.S. Income Tax Return for an S Corporation. | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Form 8825 | `FORM 8825` | Rental Real Estate Income and Expenses of a Partnership or S Corporation. | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Form 990 | `FORM 990` | Return of Organization Exempt From Income Tax — annual return for tax-exempt organizations. | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule B (Form 1065) | `SCHEDULE B(FORM 1065)` | Other Information (Form 1065). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule B (Form 1120-S) | `SCHEDULE B(FORM 1120-S)` | Other Information (Form 1120-S). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule C | `SCHEDULE C` | Profit or Loss From Business (Form 1040). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule C (Form 1040) | `SCHEDULE C(FORM 1040)` | Profit or Loss From Business, Sole Proprietorship (Form 1040). | Universal | Underwriting | United States | | Schedule C (Form 1120) | `SCHEDULE C(FORM 1120)` | Dividends, Inclusions, and Special Deductions (Form 1120). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule K (Form 1065) | `SCHEDULE K(FORM 1065)` | Partners' Distributive Share Items (Form 1065). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule K (Form 1120) | `SCHEDULE K(FORM 1120)` | Other Information (Form 1120). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule K (Form 1120-S) | `SCHEDULE K(FORM 1120-S)` | Shareholders' Pro Rata Share Items (Form 1120-S). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule K-1 | `SCHEDULE K-1` | Partner's or Shareholder's Share of Income, Deductions, and Credits. | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule K-1 (Form 1065) | `SCHEDULE K-1(FORM 1065)` | Partner's Share of Income, Deductions, and Credits (Form 1065). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule K-1 (Form 1120-S) | `SCHEDULE K-1(FORM 1120-S)` | Shareholder's Share of Income, Deductions, and Credits (Form 1120-S). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule L (Form 1065) | `SCHEDULE L(FORM 1065)` | Balance Sheets per Books (Form 1065). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule L (Form 1120) | `SCHEDULE L(FORM 1120)` | Balance Sheets per Books (Form 1120). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule L (Form 1120-S) | `SCHEDULE L(FORM 1120-S)` | Balance Sheets per Books (Form 1120-S). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule M-1 (Form 1065) | `SCHEDULE M-1(FORM 1065)` | Reconciliation of Income (Loss) per Books With Income per Return (Form 1065). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule M-1 (Form 1120) | `SCHEDULE M-1(FORM 1120)` | Reconciliation of Income (Loss) per Books With Income per Return (Form 1120). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule M-1 (Form 1120-S) | `SCHEDULE M-1(FORM 1120-S)` | Reconciliation of Income (Loss) per Books With Income per Return (Form 1120-S). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule M-2 (Form 1065) | `SCHEDULE M-2(FORM 1065)` | Analysis of Partners' Capital Accounts (Form 1065). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule M-2 (Form 1120) | `SCHEDULE M-2(FORM 1120)` | Analysis of Unappropriated Retained Earnings per Books (Form 1120). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule M-2 (Form 1120-S) | `SCHEDULE M-2(FORM 1120-S)` | Analysis of Accumulated Adjustments Accounts (Form 1120-S). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule M-3 (Form 1065) | `SCHEDULE M-3(FORM 1065)` | Net Income (Loss) Reconciliation for Partnerships with $10M+ assets (Form 1065). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule M-3 (Form 1120) | `SCHEDULE M-3(FORM 1120)` | Net Income (Loss) Reconciliation for Corporations with $10M+ assets (Form 1120). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | | Schedule M-3 (Form 1120-S) | `SCHEDULE M-3(FORM 1120-S)` | Net Income (Loss) Reconciliation for S Corporations with $10M+ assets (Form 1120-S). | C\&I Lending; SBA Lending; CRE Lending; Equipment/Asset-Based Finance | Underwriting | United States | **Personal Tax Return (12)** | Document Name | Type Code | Description | Loan Type(s) | Lifecycle Stage(s) | Region | | ------------------------ | ------------------------- | ------------------------------------------------------------------------------------------------ | ------------ | ------------------ | ------------- | | Form 1040 | `FORM 1040` | U.S. Individual Income Tax Return — the primary personal income tax filing. | Universal | Underwriting | United States | | Form 1040-Sr | `FORM 1040-SR` | U.S. Tax Return for Seniors — Form 1040 variant with larger type and a standard-deduction chart. | Universal | Underwriting | United States | | Schedule 1 | `SCHEDULE 1` | Additional Income and Adjustments to Income (Form 1040). | Universal | Underwriting | United States | | Schedule 2 | `SCHEDULE 2` | Additional Taxes (Form 1040). | Universal | Underwriting | United States | | Schedule 3 | `SCHEDULE 3` | Additional Credits and Payments (Form 1040). | Universal | Underwriting | United States | | Schedule A | `SCHEDULE A` | Itemized Deductions (Form 1040). | Universal | Underwriting | United States | | Schedule B | `SCHEDULE B` | Interest and Ordinary Dividends (Form 1040). | Universal | Underwriting | United States | | Schedule C (Form 1040) | `SCHEDULE C(FORM 1040)` | Profit or Loss From Business, Sole Proprietorship (Form 1040). | Universal | Underwriting | United States | | Schedule D | `SCHEDULE D` | Capital Gains and Losses (Form 1040). | Universal | Underwriting | United States | | Schedule E | `SCHEDULE E` | Supplemental Income and Loss — rental, royalty, partnership, S-corp (Form 1040). | Universal | Underwriting | United States | | Schedule F | `SCHEDULE F` | Profit or Loss From Farming (Form 1040). | Universal | Underwriting | United States | | Schedule K-1 (Form 1041) | `SCHEDULE K-1(FORM 1041)` | Beneficiary's Share of Income, Deductions, and Credits (Form 1041). | Universal | Underwriting | United States | ### Related pages * [Document Classification](/document-ai/guides-1/document-classification.md) and [Document Extraction](/document-ai/guides-1/document-extraction.md) use this registry directly. * [Fraud Detection](/document-ai/guides-1/fraud-detection.md) uses the type-level template associations listed here. * [Test Dashboard](/document-ai/guides-1/test-dashboard.md) uses document types to organize benchmark coverage and accuracy. --- # Agent Instructions This documentation is published with GitBook. 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