MEMORANDUM. Assignment of Discretionary Investment Advisory Services Agreement to The Bank of New York Mellon

Save this PDF as:
 WORD  PNG  TXT  JPG

Size: px
Start display at page:

Download "MEMORANDUM. Assignment of Discretionary Investment Advisory Services Agreement to The Bank of New York Mellon"

Transcription

1 MEMORANDUM TO: Mayor and Council ~/ THROUGH: James R. O'Connor, City Ma l FROM: Cynthia D. Lawson, Finance Director~ DATE: April 13, 2015 SUBJECT: Assignment of Discretionary Investment Advisory Services Agreement to The Bank of New York Mellon BACKGROUND: In 2009, the City entered into a discretionary investment advisory agreement with MBIA Capital Management Corporation, for investment management services for the City's non-pension investments (Attachment A). In 2010, MBIA Capital Management Corporation became Cutwater Asset Management. In this capacity, Cutwater manages the investment of the City's idle cash and reserves in accordance with the restrictions of Section (15), Florida Statutes and the City's investment policy statement. The City received notice that Cutwater Asset Management would become a wholly owned subsidiary of Bank of New York Mellon in early 2015 (Attachment B). Although the notice indicated that the City did not have to give 'positive' consent to this assignment, Section 14 of the terms of the City's current agreement with MBIA/Cutwater indicates that the City should consent to such assignment. As indicated in the notification letter, the City will continue receiving investment advisory services from Cutwater Asset Management and the agreement will continue on the same terms and conditions as those currently in effect. RECOMMENDATION: City Council approve the assignment of the City's 'Discretionary Investment Advisory Agreement' dated March 2, 2009 to BNY Mellon and authorize the City Manager to sign the letter consenting to this assignment. ANALYSIS: Strengths: Cutwater Asset Management has provided the City with effective and responsible investment management services since Weaknesses: None identified. Opportunities: The Cutwater Asset Management team has offered to work with the City to update the investment policy, with the goal of increasing the flexibility and earnings while remaining complaint with the restrictions in Florida Statutes. Threats: None identified.

2 ATIACHMENTA MBIA Capital Management Corp. DISCRETIONARY INVESTMENT ADVISORY AGREEMENT This Agreement, dated as of the 2nd day of March 2009 (the "Agreement"), is by and between MBIA Capital Management Corp. (the "Adviser") and the City of Vero Beach (the "Client"). The parties agree as follows: 1. APPOINTMENT The Client hereby appoints the Adviser as the investment manager of those assets designated by the Client (the "Advisory Account"). 2. SERVICES OF ADVISER By execution of this Agreement, the Adviser accepts appointment as investment manager for the Advisory Account and agrees to supervise and direct the investment of the Advisory Account in accordance with the written investment objectives, policies and restrictions of the Client from time to time. The Client shall provide the Adviser with a statement of its investment objective( s) and a statement of the investment policies and guidelines applicable to the management of the Advisory Account. The Client agrees to notify the Adviser promptly in writing of any modifications to the investment objectives, policies or restrictions applicable to the Advisory Account. The Adviser, with full discretionary authority, and consistent with the Client's investment objectives, policies and restrictions, may buy or sell securities and place orders for the execution of such transactions with or through such brokers, dealers, or issuers as the Adviser may select. The Client understands that this Agreement does not require or obligate the Adviser to provide legal or tax advice services to the Client and that the Adviser is not providing such services to the Client. 3. CLIENT REPORTING The Adviser will provide to the client on a monthly basis a report of the securities transactions executed, statement of securities holdings, and the investment income earned on the account. Quarterly reports will be furnished to the Client containing investment reports for the portfolio which provide an in-depth analysis of market conditions and interest rates, portfolio composition and sector analyses, portfolio return, and detailed securities holdings. It is agreed that the Adviser, in the maintenance of records, does not assume responsibility for the accuracy of information furnished by the Client or any other person. 4. SAFEKEEPING AND CUSTODY The Adviser will not have custody or possession of assets in the Advisory Account of the Client. The Client shall select and authorize a custodian bank or brokerage firm to hold the assets of the Advisory Account in safekeeping for the Client. The Client shall be solely responsible for all fees involved with any custodial arrangements. 5. FUNDING POLICY The Client shall from time to time inform the Adviser in writing of the funding policy applicable with respect to the Client and of its cash disbursement requirements. The Adviser shall make its investment decisions for the Advisory Account in accordance with such funding policy and requirements. The Client will provide the Adviser with no less than five (5) days notice of a substantial withdrawal (i.e. 10% of the portfolio assets) from the Advisory Account to permit the Adviser to affect an orderly liquidation of the Advisory Account's holdings. In the absence of such notice, the Adviser will use its best efforts to minimize adverse effects of such withdrawals on the Advisory Account. The Client understands that the Client bears the market risk associated with changes to such funding policy and requirements and with the termination of this Agreement. 6. ALLOCATION OF BROKERAGE When placing orders for the execution of transactions for the Advisory Account, the Adviser will take into consideration not only the available prices but also other relevant factors such as, without limitation, execution capabilities. The Adviser will exercise good faith in obtaining the best price and execution for each transaction for the Advisory Account. Page 1of4

3 1. FEES The compensation of the Adviser for its services under this Agreement shall be calculated and paid in accordance with the Fee Schedule in Exhibit A, as the same may be amended from time to time by mutual agreement of the Client and the Adviser. 8. LIMITATION OF LIABILITY In the performance of its services, the Adviser will not be liable for any error in judgment or any acts or omissions to act except those resulting from the Adviser's gross negligence, willful misconduct or malfeasance. Nothing herein shall in any way constitute a waiver or limitation of any right of any person under the federal and state securities laws. 9. SERVICES TO OTHER CLIENTS It is understood that the Adviser performs investment advisory services for other clients. The Client agrees that the Adviser may give advice and.take action with respect to any of its other clients which may differ from advice given, or the timing, or nature of action taken, with respect to the Advisory Account. 10. REPRESENTATIONS BY THE CLIENT The Client represents that the terms of this Agreement do not violate any obligation by which the Client is bound, whether arising by contract, operation of law, or otherwise, and that this Agreement has been duly authorized by appropriate action and is binding upon the Client in accordance with its terms. 11. ACKNOWLEDGEMENT OF RECEIPT OF BROCHURE (FORM ADV PART II) The Client hereby acknowledges receipt of the Adviser's Brtochure (Form ADV Part II) at least 48 hours prior to the date of execution of this Agreement in compliance with Rule of the Investment Advisers Act of 1940 (the "Act"). 12. VALUATION The adviser will value the securities in the investment account based upon prices obtained from a nationally recognized independent pricing service. Where prices cannot be obtained from such an independent service, the adviser will obtain prices from dealers which make a market in the specified securities. Any other security or asset shall be valued in a manner determined in good faith by the Adviser to reflect its fair market value. 13. NOTICE All notices and other communications shall be deemed effective when received, in writing, at the address appearing below. Receipt of written notice shall be presumed if mailed postpaid by registered or certified mail, return receipt requested. Each party shall be entitled to presume the correctness of such address until notified in writing to the contrary. 14. TERMINATION; ASSIGNMENT; AMENDMENT This Agreement may be terminated at any time by either party giving to the other at least thirty (30) days' prior notice of such termination confirmed in writing. No assignment, as that term is defined in the Act, of this Agreement shall be made by either party without the consent of the other. This Agreement may be amended or modified at any time by mutual agreement in writing. 15. ADDITIONAL PROVISIONS This Agreement may be executed in two or more counterparts, each one of which shall be deemed to be an original. To the extent federal law does not apply, this Agreement shall be construed in accordance with and governed by the laws of the State of New York. This Agreement constitutes the entire agreement of the parties with respect to the management of the Advisory Account. Page 2 of 4

4 IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed by their respective representatives as of the date first above written. The City of Vero Beach BY: Finance Director ADDRESS: Vero Beach City Hall th Place Vero Beach, FL MBIA Capital Management Corp. BY: ADDRESS: 113 King Street Armonk, NY Page 3 of4

5 Exhibit A FEE SCHEDULE FOR INVESTMENT ADVISORY SERVICES The annual fee for providing investment advisory services for the City of Vero Beach is as follows: Annual Rate: 10 basis points or.10% The fees for investment advisory services are based on the average market value of the assets under management. A pro rata portion of the annual fee (1/4) is billed at the end of every quarter based on the average market value of the portfolio. The average quarterly market value is calculated by averaging the ending market value of portfolio holdings reported for each month during the quarter. The fee shall be payable upon receipt. Page 4 of 4

6 ATTACHMENT B. CUTWATER. AsSET MANAGEMENT October 15, 2014 Ms. Cynthia Lawson Finance Director City of Vero Beach Vero Beach City Hall th Place Vero Beach, FL Dear Ms. Lawson: As announced on October 6, 2014, MBIA Inc., the owner of Cutwater Asset Management, entered into an agreement with The Bank of New York Mellon. Under this agreement, The Bank of New York Mellon has agreed to purchase all of the ownership interests of Cutwater Asset Management. The transaction is expected to be completed in early January, As you know, Cutwater Asset Management Corp. provides investment advisory services to you in connection with your account pursuant to the original Discretionary Investment Advisory Agreement entered into with MBIA Capital Management Corp. on March 2, Under the agreement with The Bank of New York Mellon, you will continue receiving your investment advisory services from Cutwater Asset Management Corp. Under the Investment Advisers Act of 1940, the acquisition of Cutwater Asset Management by The Bank of New York Mellon is considered an "assignment" of your investment advisory agreement and we are required to obtain your consent to such assignment. Please indicate your consent to the assignment of your investment advisory agreement by signing and returning the consent form below. Please note that unless you notify us within 45 days after the date of this letter that you do not consent or intend to terminate your investment advisory agreement, you will be deemed to have consented to the assignment of your investment advisory agreement. Such consent means that your investment advisory agreement with us will continue on the same terms and conditions as currently in effect, and you will continue to have the right to terminate your investment advisory agreement as provided in your agreement. We value the lasting relationship we have built with you and your organization, and we look forward to continuing to provide you with investment advisory services during this exciting event. We thank you for your continued business Jo- <:o Joseph Sevely Chief Financial Officer CUTWATER ASSET MANAGEMENT I 113 King Street, Armonk, NY I I

7 . CUTWATER. AsSET MANAGEMENT I hereby certify that I am authorized to consent on behalf of the client referenced above, and do hereby consent to the assignment of my advisory agreement: Date Signature Print Name Title/Capacity Please fax or a signed copy of this consent to the attention of Bertha Lui-McKee at (fax) or and mail the signed original to Bertha Lui-McKee, Cutwater Investor Services Corp., 113 King Street, Armonk, NY 10504, in the enclosed pre-addressed stamped envelope. Thank you for your cooperation. CUTWATER ASSET MANAGEMENT I 113 King Street, Armonk, NY I I

INVESTMENT ADVISORY AGREEMENT- NON-DISCRETIONARY

INVESTMENT ADVISORY AGREEMENT- NON-DISCRETIONARY INVESTMENT ADVISORY AGREEMENT- NON-DISCRETIONARY This Agreement is by and Between and the Board of County Commissioners of Garfield County, Colorado (the Client ). The parties agree as follows: 1. Appointment

More information

Investment Advisory Agreement

Investment Advisory Agreement Investment Advisory Agreement Whereas ("Client") hereby appoints Fried Asset Management, Inc. ("Adviser") as investment adviser to manage the investment and reinvestment of the cash and securities in the

More information

NON-DISCRETIONARY ADVISORY AGREEMENT

NON-DISCRETIONARY ADVISORY AGREEMENT NON-DISCRETIONARY ADVISORY AGREEMENT THIS NON-DISCRETIONARY ADVISORY AGREEMENT is made by and between the undersigned (the Client ) and Values First Advisors, Inc. (the Advisor ). The Client hereby retains

More information

PIH INVESTMENTS, LLC INVESTMENT ADVISORY AGREEMENT

PIH INVESTMENTS, LLC INVESTMENT ADVISORY AGREEMENT PIH INVESTMENTS, LLC INVESTMENT ADVISORY AGREEMENT On this day of, in the year, by and between Pih Investments, LLC ( Advisor ) and ( Client ). WITNESSETH WHEREAS, the undersigned Client being duly authorized

More information

DISCRETIONARY INVESTMENT ADVISORY AGREEMENT

DISCRETIONARY INVESTMENT ADVISORY AGREEMENT DISCRETIONARY INVESTMENT ADVISORY AGREEMENT This Discretionary Investment Advisory Agreement (this Agreement ) is between (the "Client") and LEONARD L. GOLDBERG d/b/a GOLDBERG CAPITAL MANAGEMENT, a sole

More information

INVESTMENT ADVISORY AGREEMENT

INVESTMENT ADVISORY AGREEMENT INVESTMENT ADVISORY AGREEMENT 1150 Bob Courtway Dr. Suite 50 Conway, AR 72032 This Investment Advisory Agreement made and entered into this Day of,20 by (Client). Client hereby agrees to engage Veritas

More information

INVESTMENT ADVISORY AGREEMENT

INVESTMENT ADVISORY AGREEMENT INVESTMENT ADVISORY AGREEMENT This Investment Advisory Agreement sets forth the terms upon which Client engages Grossman Financial Management as a financial and investment advisor. Agreement The undersigned

More information

INVESTMENT MANAGEMENT SERVICES AGREEMENT

INVESTMENT MANAGEMENT SERVICES AGREEMENT INVESTMENT MANAGEMENT SERVICES AGREEMENT THIS AGREEMENT is made this day of, 20 by and between I.Q. Trends Private Client Asset Management (the Advisor ), a California corporation, whose principal place

More information

FOREXer Advisory ADVISORY AGREEMENT. Last update of this DisclosureDocument is Aug 1 st, 2013.

FOREXer Advisory ADVISORY AGREEMENT. Last update of this DisclosureDocument is Aug 1 st, 2013. FOREXer Advisory ADVISORY AGREEMENT Last update of this DisclosureDocument is Aug 1 st, 2013. TRADING ADVISORY AGREEMENT This Trading Advisory Agreement (the Agreement ) is entered into as of the Date:-------------------by

More information

Investment Advisory Agreement. Advantage Portfolio Management Program

Investment Advisory Agreement. Advantage Portfolio Management Program Investment Advisory Agreement Advantage Portfolio Management Program Dear Sirs/Madams: This Investment Advisory Agreement confirms our agreement as to the following: CLIENT NAME(s): ( Client ) ACCOUNT

More information

INVESTMENT ADVISORY AGREEMENT

INVESTMENT ADVISORY AGREEMENT INVESTMENT ADVISORY AGREEMENT This Investment Advisory Agreement (the "Agreement") is made and entered into this day of, 20, by and between Bahl & Gaynor, Inc. (the "Advisor"), having its principal place

More information

Discretionary Investment Management Agreement. Premier SEP IRA. Ameritas Investment Corp. 5900 "O" Street Lincoln, NE 68510-2234

Discretionary Investment Management Agreement. Premier SEP IRA. Ameritas Investment Corp. 5900 O Street Lincoln, NE 68510-2234 Discretionary Investment Management Agreement Premier SEP IRA Ameritas Investment Corp. 5900 "O" Street Lincoln, NE 68510-2234 DISCRETIONARY INVESTMENT MANAGEMENT AGREEMENT Ameritas Investment Corp. By

More information

Cherry Hills Investment Advisors INVESTMENT ADVISORY CONTRACT

Cherry Hills Investment Advisors INVESTMENT ADVISORY CONTRACT Cherry Hills Investment Advisors INVESTMENT ADVISORY CONTRACT THIS INVESTMENT ADVISORY CONTRACT (this Agreement ) is made as of the Effective Date (defined below), between, whose address is and whose email

More information

DOGPATCH CAPITAL WeALTH & InvesTmenT management

DOGPATCH CAPITAL WeALTH & InvesTmenT management DOGPATCH CAPITAL Wealth & Investment Management INVESTMENT ADVISORY AGREEMENT Dogpatch Capital LLC ( Advisor ), an investment Advisor domiciled in the State of California, agrees to act as an investment

More information

INVESTMENT ADVISORY AGREEMENT

INVESTMENT ADVISORY AGREEMENT INVESTMENT ADVISORY AGREEMENT Equity Planning Group, Inc. 7035 Orchard Lake Road, Suite 700 West Bloomfield, Ml 48322 (248) 932-4600 - Fax (248) 932-4610 Equity Planning Group, Inc. Registered Investment

More information

INVESTMENT ADVISORY AGREEMENT

INVESTMENT ADVISORY AGREEMENT The undersigned client ( I ) agrees to engage WealthStrategies Financial Advisors, LLC ( you ) as advisor for the Account(s) custodied with FOLIOfn Investments, Inc. ( Account(s) ) upon the following terms

More information

Spark Advisors Advisory Agreement

Spark Advisors Advisory Agreement Spark Advisors Advisory Agreement This Investment Advisor Agreement ( Agreement ) is by and between Spark Advisors, LLC ( Spark Advisors or Adviser ), a registered investment adviser, and the party electronically

More information

mabc Investment Advisors, LLC PO Box 71 1322 Houston, TX 77271 Tel: 713-777-0260 7914 Candle Ln Houston, TX 77071 Cell: 713-516-2310

mabc Investment Advisors, LLC PO Box 71 1322 Houston, TX 77271 Tel: 713-777-0260 7914 Candle Ln Houston, TX 77071 Cell: 713-516-2310 REGULAR NON-DISCRETIONARY INVESTMENT ADVISORY SERVICES AGREEMENT AGREEMENT, made this day of, 20 between the undersigned party, whose mailing address is (hereinafter referred to as the Client ), and mabc

More information

Vorpahl Wing Securities, Inc. Assets Management Agreement

Vorpahl Wing Securities, Inc. Assets Management Agreement Vorpahl Wing Securities, Inc. Assets Management Agreement Account : Account # IAR # This Assets Management Agreement together with the Schedules attached hereto, (collectively the Agreement ), is by and

More information

INVESTMENT ADVISORY AGREEMENT. Horizon Investments, LLC Lifetime Income Strategy

INVESTMENT ADVISORY AGREEMENT. Horizon Investments, LLC Lifetime Income Strategy INVESTMENT ADVISORY AGREEMENT Horizon Investments, LLC Lifetime Income Strategy This agreement (the Agreement ) for investment management services is entered into by and between HORIZON INVESTMENTS, LLC

More information

INVESTMENT ADVISORY AGREEMENT

INVESTMENT ADVISORY AGREEMENT INVESTMENT ADVISORY AGREEMENT This Investment Advisory Agreement is entered into by and between CONFLUENCE INVESTMENT MANAGEMENT LLC, a Delaware limited liability company ( Adviser ), and the undersigned

More information

INVESTMENT ADVISORY AGREEMENT

INVESTMENT ADVISORY AGREEMENT INVESTMENT ADVISORY AGREEMENT The undersigned ("Client") employs Eclectic Associates, Inc. ("Eclectic") as investment adviser for the Client's Account(s). Eclectic Associates, Inc. agrees to serve in that

More information

HOMETOWN Financial Planning 1957 Lake Street Roseville, Minnesota 55113

HOMETOWN Financial Planning 1957 Lake Street Roseville, Minnesota 55113 HOMETOWN Financial Planning 1957 Lake Street Roseville, Minnesota 55113 (651) 638-9428 Fax (651) 638-9356 terry@hometownfp.com Terry Warren Nelson, CFP MS Registered Investment Advisor THIS CLIENT AGREEMENT

More information

INVESTMENT CONSULTING SERVICES AGREEMENT

INVESTMENT CONSULTING SERVICES AGREEMENT INVESTMENT CONSULTING SERVICES AGREEMENT THIS AGREEMENT is made this day of, 20 by and between I.Q. Trends Private Client Asset Management (the Advisor ), a California corporation, whose principal place

More information

Antonio Gastelum, Inc. INVESTMENT MANAGEMENT AND ADVISORY AGREEMENT ( Agreement )

Antonio Gastelum, Inc. INVESTMENT MANAGEMENT AND ADVISORY AGREEMENT ( Agreement ) Antonio Gastelum, Inc. INVESTMENT MANAGEMENT AND ADVISORY AGREEMENT ( Agreement ) Management and Advisory Agreement This Investment Management and Advisory Services ( Advisory Services ) Agreement dated

More information

INVESTMENT ADVISORY AGREEMENT

INVESTMENT ADVISORY AGREEMENT INVESTMENT ADVISORY AGREEMENT This Agreement is between the undersigned individual or entity ( Client ) and Van Meter Associates, LLC ( Adviser ). The parties agree as follows: 1. Appointment of Manager.

More information

Advisory Agreement: Asset Management Services

Advisory Agreement: Asset Management Services Advisory Agreement: Asset Management Services This Investment Advisory Services Agreement for asset management services ( Agreement ) is made by and between MyWealthyOptions LLC ( MWO or Adviser ), a registered

More information

INVESTMENT ADVISORY AGREEMENT

INVESTMENT ADVISORY AGREEMENT INVESTMENT ADVISORY AGREEMENT THIS AGREEMENT, entered into as of the day of, 20 (the Agreement ), by and between Brazos County, Texas (hereinafter the Client ) and PFM ASSET MANAGEMENT LLC, a Delaware

More information

Orbit Group Advisory Services LLC INVESTMENT ADVISORY CONTRACT. 100 International Drive, Buffalo, New York 14221

Orbit Group Advisory Services LLC INVESTMENT ADVISORY CONTRACT. 100 International Drive, Buffalo, New York 14221 Orbit Group Advisory Services LLC INVESTMENT ADVISORY CONTRACT 100 International Drive, Buffalo, New York 14221 Version Date: 03/12/2015 The undersigned ( Client ), being duly authorized, has established

More information

Miller Financial Services, LLC Advisory Services Agreement

Miller Financial Services, LLC Advisory Services Agreement Miller Financial Services, LLC Advisory Services Agreement This Agreement (the Agreement ) is made and entered into, by and between, Miller Financial Services, LLC (the Advisor ) and xx (the Client ),

More information

Marketwise Private Asset Management INVESTMENT ADVISORY CONTRACT. CLIENT NAME Address City, State ZIP Date: MM/DD/YYYY

Marketwise Private Asset Management INVESTMENT ADVISORY CONTRACT. CLIENT NAME Address City, State ZIP Date: MM/DD/YYYY Marketwise Private Asset Management INVESTMENT ADVISORY CONTRACT CLIENT NAME Address City, State ZIP Date: MM/DD/YYYY The undersigned ( Client ), being duly authorized, has established an Account/Relationship

More information

BRIARWOOD CAPITAL MANAGEMENT INC. MANAGED ACCOUNT AGREEMENT

BRIARWOOD CAPITAL MANAGEMENT INC. MANAGED ACCOUNT AGREEMENT BRIARWOOD CAPITAL MANAGEMENT INC. MANAGED ACCOUNT AGREEMENT THIS MANAGED ACCOUNT AGREEMENT (the "Agreement") is made by and between BRIARWOOD CAPITAL MANAGEMENT INC., a New York corporation (the "Advisor")

More information

Charles Carroll Financial Partners, LLC INVESTMENT ADVISORY CONTRACT

Charles Carroll Financial Partners, LLC INVESTMENT ADVISORY CONTRACT Charles Carroll Financial Partners, LLC INVESTMENT ADVISORY CONTRACT Charles Carroll Financial Partners Investment Advisory Contract 03-13 1 INVESTMENT AGREEMENT The undersigned ( Client ), being duly

More information

INVESTMENT ADVISORY MANAGEMENT AGREEMENT

INVESTMENT ADVISORY MANAGEMENT AGREEMENT INVESTMENT ADVISORY MANAGEMENT AGREEMENT This Investment Advisory Agreement ( Agreement ) is entered into this day of, 20, by and between Rockbridge Asset Management, LLC ( Rockbridge ), a Registered Investment

More information

VERSION 6.23.15 QUANTUM FINANCIAL ADVISORS

VERSION 6.23.15 QUANTUM FINANCIAL ADVISORS VERSION 6.23.15 Q F A NON- D I S C R E T I O N A R Y I A A G R E E M E N T ( D C ) QUANTUM FINANCIAL ADVISORS N O N D I S C R E T I O N A R Y I N V E S T M E N T A D V I S O R Y A G R E E M E N T THIS

More information

INVESTMENT ADVISORY AGREEMENT WITNESSETH

INVESTMENT ADVISORY AGREEMENT WITNESSETH INVESTMENT ADVISORY AGREEMENT THIS AGREEMENT, entered into as of the 231d day of July in the year of 2008, by and between Nassau County Clerk of Courts, a public agency (hereinafter the "Client"), and

More information

INVESTMENT ADVISORY AGREEMENT

INVESTMENT ADVISORY AGREEMENT Merit Advisors, Inc. Registered Investment Adviser 121 NE 50th Street Oklahoma City, OK 73105 www.meritadvisors.com INVESTMENT ADVISORY AGREEMENT This Agreement is made this day of, 20 between Merit Advisors,

More information

WEALTH MANAGEMENT SERVICES AGREEMENT

WEALTH MANAGEMENT SERVICES AGREEMENT WEALTH MANAGEMENT SERVICES AGREEMENT This Agreement is entered into by George Papadopoulos (hereinafter referred to as the Adviser ) and ( hereinafter referred to as the "Client or You ), and outlines

More information

I N V E S T M E N T A D V I S O R Y A G R E E M E N T

I N V E S T M E N T A D V I S O R Y A G R E E M E N T I N V E S T M E N T A D V I S O R Y A G R E E M E N T AGREEMENT, made this day of, 20 between the undersigned party,, whose mailing address is (hereinafter referred to as the CLIENT ), and TRADEWINDS CAPITAL

More information

FLEMING WEALTH STRATEGIES, LLC INVESTMENT ADVISORY AGREEMENT

FLEMING WEALTH STRATEGIES, LLC INVESTMENT ADVISORY AGREEMENT FLEMING WEALTH STRATEGIES, LLC INVESTMENT ADVISORY AGREEMENT AGREEMENT, made this day of, 20 between the undersigned party, whose mailing address is (hereinafter referred to as the Client ), and Fleming

More information

CLIENT NAME Address City, State ZIP

CLIENT NAME Address City, State ZIP TriMarC Wealth Management LLC INVESTMENT ADVISORY CONTRACT CLIENT NAME Address City, State ZIP The undersigned ( Client ), being duly authorized, has established an Account/Relationship (the Account ),

More information

INVESTMENT MANAGEMENT AGREEMENT BETWEEN CHICAGO TRANSIT AUTHORITY RETIREE HEALTH CARE TRUST (the TRUST) AND [INVESTMENT MANAGER]

INVESTMENT MANAGEMENT AGREEMENT BETWEEN CHICAGO TRANSIT AUTHORITY RETIREE HEALTH CARE TRUST (the TRUST) AND [INVESTMENT MANAGER] INVESTMENT MANAGEMENT AGREEMENT BETWEEN CHICAGO TRANSIT AUTHORITY RETIREE HEALTH CARE TRUST (the TRUST) AND [INVESTMENT MANAGER] THIS AGREEMENT, dated as of this day of, 20 is made by and between [NAME

More information

DISCRETIONARY INVESTMENT ADVISORY AGREEMENT

DISCRETIONARY INVESTMENT ADVISORY AGREEMENT DISCRETIONARY INVESTMENT ADVISORY AGREEMENT AGREEMENT, made this day of, 20 between the undersigned party, (hereinafter referred to as the Client ), and Walkner Condon Financial Advisors LLC, a registered

More information

JQR Capital Management, LLC INVESTMENT ADVISORY CONTRACT

JQR Capital Management, LLC INVESTMENT ADVISORY CONTRACT JQR Capital Management, LLC INVESTMENT ADVISORY CONTRACT For Version Date: 05/02/2016 The undersigned ( Client ), being duly authorized, has established an account (the Account ) and hereby agrees to engage

More information

INVESTMENT ADVISORY AGREEMENT

INVESTMENT ADVISORY AGREEMENT Wealth through ingenuity. INVESTMENT ADVISORY AGREEMENT AGREEMENT, made this day of, 20 between the undersigned party,, whose mailing address is (hereinafter referred to as the CLIENT ), and CMG CAPITAL

More information

INVESTMENT ADVISORY AGREEMENT

INVESTMENT ADVISORY AGREEMENT INVESTMENT ADVISORY AGREEMENT THIS INVESTMENT ADVISORY AGREEMENT is made on the Effective Date identified below by and between the investment advisors affiliated with BCG Securities, Inc. ( Advisor ),

More information

Atria Investments Sub-Advisory Agreement

Atria Investments Sub-Advisory Agreement This Sub-Advisory agreement ( Agreement ) is entered into on, 200, ( Effective Date ) by and between Atria Investments LLC, a North Carolina limited liability corporation with its principal place of business

More information

Discretionary Investment Management Agreement Vulcan Investments LLC 2100SouthBridge Pkwy Suite 650, Birmingham AL, 35209 1. Scope of Engagement a)

Discretionary Investment Management Agreement Vulcan Investments LLC 2100SouthBridge Pkwy Suite 650, Birmingham AL, 35209 1. Scope of Engagement a) Discretionary Investment Management Agreement This investment management agreement (the Agreement ) is, made this day of, 20 Between the undersigned party, Client(s) whose mailing address is. (Hereinafter

More information

INVESTMENT ADVISORY AGREEMENT

INVESTMENT ADVISORY AGREEMENT INVESTMENT ADVISORY AGREEMENT This AGREEMENT, made this day of,2005 between (hereinafter referred to as the [Client(s)], and TCS Financial Services, Inc., a Registered Investment Adviser, whose mailing

More information

TERMS AND CONDITIONS MODEL PORTFOLIOS INVESTMENT ADVISORY CLIENT AGREEMENT 1. MODEL PORTFOLIOS PROGRAM

TERMS AND CONDITIONS MODEL PORTFOLIOS INVESTMENT ADVISORY CLIENT AGREEMENT 1. MODEL PORTFOLIOS PROGRAM TERMS AND CONDITIONS MODEL PORTFOLIOS INVESTMENT ADVISORY CLIENT AGREEMENT This Investment Advisory Client Agreement ( Agreement ) is entered into by and between Woodbury Financial Services, Inc., a registered

More information

BCK Partners, Inc. COMPREHENSIVE FINANCIAL MANAGEMENT AGREEMENT

BCK Partners, Inc. COMPREHENSIVE FINANCIAL MANAGEMENT AGREEMENT BCK Partners, Inc. COMPREHENSIVE FINANCIAL MANAGEMENT AGREEMENT AGREEMENT, made this day of 20, between the undersigned party (hereinafter referred to as the Client or You ) and BCK Partners, Inc., a Registered

More information

BROKERAGE AGREEMENT. WHEREAS Broker wishes to gain access to and offer Paragon s specialized insurance products and services to its clients; and

BROKERAGE AGREEMENT. WHEREAS Broker wishes to gain access to and offer Paragon s specialized insurance products and services to its clients; and BROKERAGE AGREEMENT This Agreement, effective 2014 is between Paragon Insurance Holdings, LLC ( Paragon ), 45 Nod Road, Avon, Connecticut 06001 with underwriting office at 850 Fulton Street, Farmingdale,

More information

Asset Management Agreement

Asset Management Agreement 2598 Fortune Way, Suite G Vista, CA 92081 (760) 597-9255 fax (760) 597-9259 (800) 455-1288 www.prudentnetwork.com Asset Management Agreement Pursuant to the terms of this Agreement, (hereafter referred

More information

Computershare Trust Company BYDSsm Buy Direct Stock

Computershare Trust Company BYDSsm Buy Direct Stock Computershare Trust Company BYDSsm Buy Direct Stock All correspondence and inquiries concerning the Program should be directed to: Computershare Trust Company P.O. Box A3309 Chicago, Illinois 60690-3309

More information

Qualified, Performance-Based, Investment Advisory Agreement. Name(s) on account: Address:

Qualified, Performance-Based, Investment Advisory Agreement. Name(s) on account: Address: Motiwala Capital 2015 Loma Alta Irving, Texas 75063 Tel: (817) 689-5115 www.motiwalacapital.com Qualified, Performance-Based, Investment Advisory Agreement Name(s) on account: Address: Phone Numbers: Home:

More information

BMA ADVISORS, LLC Investment Advisory Agreement

BMA ADVISORS, LLC Investment Advisory Agreement BMA ADVISORS, LLC Investment Advisory Agreement 608 Silver Spur Road, Suite 100, Rolling Hills Estates, CA 90274 This agreement describes the relationship between BMA Advisors, LLC (hereinafter BMA ) and

More information

Advisory AgreementAdvisory Agreement

Advisory AgreementAdvisory Agreement Advisory AgreementAdvisory Agreement This Advisory Agreement ( Agreement ), made this day of, 20 between the below signed party(s) (hereinafter referred to as the Client ), and Phalanx Wealth Management,

More information

Fineberg Wealth Management, LLC Investment Advisory Contract

Fineberg Wealth Management, LLC Investment Advisory Contract Fineberg Wealth Management, LLC Investment Advisory Contract P.O. Box 3391 Ann Arbor, Michigan 48106 (734) 230-7900 email@finebergwealth.com www.finebergwealth.com The undersigned ( Client ), being duly

More information

PRODUCER AGREEMENT. Hereinafter ("Producer"), in consideration of the mutual covenants and agreements herein contained, agree as follows:

PRODUCER AGREEMENT. Hereinafter (Producer), in consideration of the mutual covenants and agreements herein contained, agree as follows: PRODUCER AGREEMENT Hereinafter First Choice Insurance Intermediaries, Inc "FCII", a Florida company, having an office at 814 A1A North, Suite 206, Ponte Vedra Beach, FL 32082 and " Producer" having an

More information

INVESTMENT MANAGEMENT AGREEMENT Client: Client and/or Spouse or Institutional Client

INVESTMENT MANAGEMENT AGREEMENT Client: Client and/or Spouse or Institutional Client This Agreement sets forth the contract terms between CARTER CAPITAL MANAGEMENT ( Advisor ), and Client and/or Spouse or Institutional Client In consideration of the mutual benefits to be derived from the

More information

INVESTMENT ADVISORY AGREEMENT

INVESTMENT ADVISORY AGREEMENT INVESTMENT ADVISORY AGREEMENT Ceera Investments, LLC ( Adviser ), a registered investment adviser under the Investment Adviser s Act of 1940 (the "Adviser s Act") agrees to act as an investment adviser

More information

ASSET MANAGEMENT AGREEMENT. Focused Wealth Management, Inc. 216 Route 299, Suite 5 Highland, NY 12528 (845) 691-4035

ASSET MANAGEMENT AGREEMENT. Focused Wealth Management, Inc. 216 Route 299, Suite 5 Highland, NY 12528 (845) 691-4035 ASSET MANAGEMENT AGREEMENT Focused Wealth Management, Inc. 216 Route 299, Suite 5 Highland, NY 12528 (845) 691-4035 This Agreement (hereinafter referred to as Agreement) is made and entered into by and

More information

INVESTMENT ADVISORY AGREEMENT

INVESTMENT ADVISORY AGREEMENT INVESTMENT ADVISORY AGREEMENT Conner Management Group, LLC ( Adviser ), a registered investment adviser under the Investment Adviser s Act of 1940 (the "Adviser s Act") agrees to act as an investment adviser

More information

Referral Agent Agreement

Referral Agent Agreement This Referral Agreement (this "Agreement") is made effective as of the day of, 20 (the "Effective Date") by and between MaxNOC Communications, LLC with offices at 100 NE 80th Terrace, Suite 200 Miami Florida

More information

Agent Agreement WITNESSETH

Agent Agreement WITNESSETH PATRIOT NATIONAL UNDERWRITERS, INC. Agent Agreement THIS AGENT AGREEMENT (the Agreement ) is made and entered into by and between Patriot National Underwriters, Inc., a Texas corporation ( Patriot ), and

More information

INVESTMENT MANAGEMENT AGREEMENT

INVESTMENT MANAGEMENT AGREEMENT INVESTMENT MANAGEMENT AGREEMENT This Agreement is entered into by and between Valentine Ventures, LLC, an Oregon limited liability company ("Manager"), and ("Client"). In consideration of the mutual covenants

More information

DEPARTMENT OF TRANSPORTATION OFFICE OF SMALL AND DISADVANTAGE BUSINESS UTILIZATION SHORT TERM LENDING PROGRAM GUARANTEE AGREEMENT

DEPARTMENT OF TRANSPORTATION OFFICE OF SMALL AND DISADVANTAGE BUSINESS UTILIZATION SHORT TERM LENDING PROGRAM GUARANTEE AGREEMENT DEPARTMENT OF TRANSPORTATION OFFICE OF SMALL AND DISADVANTAGE BUSINESS UTILIZATION SHORT TERM LENDING PROGRAM GUARANTEE AGREEMENT This GUARANTEE AGREEMENT dated as of [DATE] (this Agreement) is made by

More information

Client Advisory Agreement

Client Advisory Agreement Client Advisory Agreement THIS AGREEMENT is between Eugenias Advisory Group, LLC (EAG) hereinafter referred to as the Advisor and (the Client ). Any reference in this document to Client will refer to all

More information

Investment Advisory Agreement

Investment Advisory Agreement Today s hybrid solution Investment Advisory Agreement AGREEMENT, made this day of, 20 between the undersigned party, whose mailing address is (hereinafter the Client ), and Private Advisor Group, LLC,

More information

HOOVER FINANCIAL ADVISORS, PC FINANCIAL PLANNING AND CONSULTING AGREEMENT

HOOVER FINANCIAL ADVISORS, PC FINANCIAL PLANNING AND CONSULTING AGREEMENT FINANCIAL PLANNING AND CONSULTING AGREEMENT This financial planning and/or consulting agreement ( Agreement ) made as of the day of, 2016 between the undersigned party, ( Client ), the Investment Advisory

More information

CLIENT APPLICATION & INVESTMENT ADVISORY AGREEMENT

CLIENT APPLICATION & INVESTMENT ADVISORY AGREEMENT CLIENT APPLICATION & INVESTMENT ADVISORY AGREEMENT MarketCycle Wealth Management, LLC Phone / fax: 1-800-MWM-8635 MarketCycle Wealth Management, LLC Primary Account Owner/Trustee (please fill in all that

More information

WHOLESALE BROKER AGREEMENT. THIS WHOLESALE BROKER AGREEMENT (this Agreement ) dated as of the

WHOLESALE BROKER AGREEMENT. THIS WHOLESALE BROKER AGREEMENT (this Agreement ) dated as of the WHOLESALE BROKER AGREEMENT THIS WHOLESALE BROKER AGREEMENT (this Agreement ) dated as of the day of,, by and among the entities indicated on Schedule A attached hereto and incorporated herein by reference

More information

GENERAL AGENT AGREEMENT

GENERAL AGENT AGREEMENT Complete Wellness Solutions, Inc. 6338 Constitution Drive Fort Wayne, Indiana 46804 GENERAL AGENT AGREEMENT This Agreement is made by and between Complete Wellness Solutions, Inc. (the Company ) and (the

More information

Investment Advisory Agreement

Investment Advisory Agreement This Investment Advisory Agreement ( Agreement ) is entered into by and between ( Client ), SPC Financial (SPC) a U.S. Securities & Exchange Commission ( SEC ) Independent Registered Investment Adviser,

More information

Ameriprise Investor Unified Account Program

Ameriprise Investor Unified Account Program Provide this form to the client. Do NOT send it to the Corporate Office. Ameriprise Investor Unified Account Program 1. Overview of Investor Unified Account Program Ameriprise Financial Services, Inc.

More information

COMPUTER SERVICES AGREEMENT

COMPUTER SERVICES AGREEMENT COMPUTER SERVICES AGREEMENT This COMPUTER SERVICES AGREEMENT ( "Agreement") is made and entered into effective as of the 1 day of January, 2008 (the Effective Date ), by and between 3T Productions, Inc.,

More information

Client Information Worksheet

Client Information Worksheet Client Information Worksheet Account Name: Address: Email: City/State/Zip: Social Security No.: Date of Birth: Home Tel No: Business/Cell Tel No: Employer s Name: Employer s Address: Spouse s Name: Date

More information

This Agreement between the City of Vero Beach and the Orlando Utilities Commission

This Agreement between the City of Vero Beach and the Orlando Utilities Commission AGREEMENT BETWEEN CITY OF VERO BEACH AND ORLANDO UTILITIES COMMISSION FOR TRANSFER OF 100% OF CITY OF VERO BEACH S POWER ENTITLEMENT SHARE OF ST. LUCIE PROJECT This Agreement between the City of Vero Beach

More information

Participation Agreement ETF Model Solutions Collective Investment Trust

Participation Agreement ETF Model Solutions Collective Investment Trust Participation Agreement ETF Model Solutions Collective Investment Trust This Participation Agreement (the Agreement ), is made as of the day of, 2014, by Alta Trust Company, a trust company chartered under

More information

I n t e g r a t e d F i n a n c i a l P l a n n i n g, P C

I n t e g r a t e d F i n a n c i a l P l a n n i n g, P C I n t e g r a t e d F i n a n c i a l P l a n n i n g, P C F I N A N C I A L P L A N N I N G A N D C O N S U L T I N G S E R V I C E S A G R E E M E N T AGREEMENT, made this day of, between the undersigned

More information

CLIENT ADVISORY AGREEMENT

CLIENT ADVISORY AGREEMENT CLIENT ADVISORY AGREEMENT This is an agreement between a California Registered Investment Advisor ( Advisor ) with its principal office at 13 B Hatton Avenue, Spreckels, California, and ( Client ). By

More information

NEW ACCOUNT APPLICATION AND AGREEMENT PLAN LEVEL ACCOUNTS

NEW ACCOUNT APPLICATION AND AGREEMENT PLAN LEVEL ACCOUNTS Mid Atlantic Capital Corporation The Times Building 336 Fourth Avenue Pittsburgh, PA 15222 412-391-7077 Fax: 412-391-2207 General Information: NEW ACCOUNT APPLICATION AND AGREEMENT PLAN LEVEL ACCOUNTS

More information

General Form of Factoring Agreement regarding the Assignment of Accounts Receivable

General Form of Factoring Agreement regarding the Assignment of Accounts Receivable General Form of Factoring Agreement regarding the Assignment of Accounts Receivable Agreement made on the (date), between (Name of Factor), a corporation organized and existing under the laws of the state

More information

SPRING OCEAN CAPITAL LLC INVESTMENT ADVISORY AGREEMENT. Terms and Conditions. 1. Advisor s Discretionary Authority and Responsibilities

SPRING OCEAN CAPITAL LLC INVESTMENT ADVISORY AGREEMENT. Terms and Conditions. 1. Advisor s Discretionary Authority and Responsibilities SPRING OCEAN CAPITAL LLC INVESTMENT ADVISORY AGREEMENT Spring Ocean Capital LLC ( Advisor ), and Client enter into this Investment Advisory Agreement ( Agreement ) as of the Effective Date (signing date).

More information

Investment Management Agreement

Investment Management Agreement Investment Management Agreement Account Name: Registration Type: Investment Amount: Lindner Capital Advisors, Inc. ("LCA", "we", "our", or "us") a Georgia corporation and investment advisor registered

More information

Client Name Client Address

Client Name Client Address INVESTMENT ADVISORY AGREEMENT ( Agreement ) Client Name Client Address The undersigned ( Client ) hereby appoints Gramercy Consulting Group LLC Investment Advisor or IA ), a New York limited liability

More information

Vending Machine Agreement

Vending Machine Agreement Document 4072A Access to this document and the LeapLaw web site is provided with the understanding that neither LeapLaw Inc. nor any of the providers of information that appear on the web site is engaged

More information

INVESTMENT ADVISER AGREEMENT FOR ASSET MANAGEMENT SERVICES

INVESTMENT ADVISER AGREEMENT FOR ASSET MANAGEMENT SERVICES INVESTMENT ADVISER AGREEMENT FOR ASSET MANAGEMENT SERVICES MEMBER FINRA SIPC Internal Branch Code: Internal Representative Code: Effective Date: Date Sent to Client: By signing this Investment Adviser

More information

FINANCIAL PLANNING AGREEMENT. Name of Client: Mailing Address: City: State: Zip: Primary Phone: Secondary Phone : Email Address:

FINANCIAL PLANNING AGREEMENT. Name of Client: Mailing Address: City: State: Zip: Primary Phone: Secondary Phone : Email Address: FINANCIAL PLANNING AGREEMENT Name of Client: Mailing Address: City: State: Zip: Primary Phone: Secondary Phone : Email Address: This Financial Planning Agreement ( Agreement ) is entered into as of the

More information

Insurance Producer Agreement

Insurance Producer Agreement Insurance Producer Agreement Section 1 - Producer s Authority The Producer shall periodically submit risks to the Company for its consideration as authorized by the Company. These risks shall be located

More information

FOREIGN EXCHANGE MANAGEMENT AGREEMENT

FOREIGN EXCHANGE MANAGEMENT AGREEMENT FOREIGN EXCHANGE MANAGEMENT AGREEMENT This Agreement is made between NetPicks, LLC, ( NetPicks ) and (hereinafter referred to as Customer ) this day of, 200_. WHEREAS, the Customer desires and is permitted

More information

Advisor's Choice Asset Management Plus Program Client Agreement

Advisor's Choice Asset Management Plus Program Client Agreement Advisor's Choice Asset Management Plus Program Client Agreement The undersigned (the "Client") hereby retains H. Beck, Inc. ("HBI"), an SEC Registered Investment Advisor, through its Investment Adviser

More information

AGENT / AGENCY AGREEMENT

AGENT / AGENCY AGREEMENT AGENT / AGENCY AGREEMENT This Agreement entered into this day of, 20, by and between Guardian Legal Services, Inc. (GUARDIAN), and General Agent, hereinafter called GA. GUARDIAN has organized a Legal Insurance

More information

Everhart Advisors Asset Management Agreement

Everhart Advisors Asset Management Agreement Everhart Advisors Asset Management Agreement This Asset Management Agreement ( Agreement ) is entered into between and agreed to by the client as described below ("Client") and Everhart Financial Group,

More information

Investment Advisory Agreement

Investment Advisory Agreement Investment Advisory Agreement For: John Sample IRA Portfolio: Long-Term Growth Financial Advisor: Advisor Name Company Name 307-673-5675 January 10, 2013 ACCOUNT Client Name(s): Title of the Account: John

More information

Sheehan Life Planning FINANCIAL PLANNING AGREEMENT

Sheehan Life Planning FINANCIAL PLANNING AGREEMENT Sheehan Life Planning FINANCIAL PLANNING AGREEMENT 10794 N Matus Ave Fresno CA 93730 CLIENT NAME ADDRESS CITY, STATE ZIP Version Date: 12/01/2015 The undersigned ( Client ), being duly authorized, has

More information

INVESTMENT ADVISORY AGREEMENT

INVESTMENT ADVISORY AGREEMENT INVESTMENT ADVISORY AGREEMENT AGREEMENT, made this day of, 20 between the undersigned party, whose mailing address is (hereinafter referred to as the CLIENT ), and SCARBOROUGH CAPITAL CORPORATION, a registered

More information

Brokerage and Non-Brokerage Accounts Asset & Financial Planning Account Application

Brokerage and Non-Brokerage Accounts Asset & Financial Planning Account Application Brokerage and Non-Brokerage Accounts Asset & Financial Planning Account Application Account Number Social Security Number (required) Account Type (please check all that apply) Individual Pension Keogh

More information

CARACOL LIMITED TIME HOME BUILDING INCENTIVE RIDER

CARACOL LIMITED TIME HOME BUILDING INCENTIVE RIDER CARACOL LIMITED TIME HOME BUILDING INCENTIVE RIDER Attached to and made a part of the Purchase Agreement dated, 2012 (the Agreement ) between Blackberry Island, LP ( Seller ) and ( Purchaser ) Purchaser

More information

INVESTMENT ADVISORY AGREEMENT For Advisory Clients of Jim Bell

INVESTMENT ADVISORY AGREEMENT For Advisory Clients of Jim Bell MEMBER FINRA & SIPC 16660 Dallas Parkway, Suite 2200 Dallas, Texas 75248 INVESTMENT ADVISORY AGREEMENT For Advisory Clients of Jim Bell This INVESTMENT ADVISORY AGREEMENT ( Agreement ) is entered into

More information