INVESTMENT ADVISORY AGREEMENT

Save this PDF as:
 WORD  PNG  TXT  JPG

Size: px
Start display at page:

Download "INVESTMENT ADVISORY AGREEMENT"

Transcription

1 INVESTMENT ADVISORY AGREEMENT 1150 Bob Courtway Dr. Suite 50 Conway, AR This Investment Advisory Agreement made and entered into this Day of,20 by (Client). Client hereby agrees to engage Veritas Independent Partners, LLC, (VIP) and, its Independent Advisor Representative under the following terms and conditions. Tel:

2 INVESTMENT ADVISORY AGREEMENT INSTRUCTIONS Please find attached the following documents o Investment Advisory Agreement o Investment Management Fee Schedule o Cost Basis Information/Letter of Authorization o Privacy Policy o Form ADV II Brochure Once the above items have been reviewed, please return the following to Veritas Independent Partners along with: o A copy of a U.S. Driver s License for all account holders o Investment Advisory Agreement ensuring the following: Page 1 Provide Client name(s) Item 4: Initial choice of Non Discretionary OR Discretionary Item 10: Initial where indicated Item 19: Sign where indicated (all account holders) o Cost Basis Completed & Letter of Authorization signed (if applicable) Please keep the following documents for your records: o Privacy Policy o ADV II Part 2 o A Copy of all your account forms Please contact your Advisor s office or if you have any questions. 2

3 INVESTMENT ADVISORY AGREEMENT 1. Governing Law: The validity of this Agreement and the rights and liabilities of the parties hereunder shall be determined in accordance with the laws of the state of Arkansas. 2. Implementation of Advice. It is understood and accepted by Client that VIP performs investment advisory services for various clients, and that VIP may give advice and take action in the performance of its duties 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 Client s Account. 3. Services. Client hereby appoints VIP, and VIP hereby accepts Client s appointment, as investment manager for the Account. VIP agrees: (a) to review at reasonable intervals during the period of this Agreement the investments of the Account as initially accepted by VIP, together with all additions, substitutions and alterations thereto; (b) to manage Client s investments in accordance with Client s instructions and consistent with Client s investment objectives, as indicated in VIP s records; and (c) to provide Client, at least quarterly, a written report of the investments of the Account. It is understood and agreed that VIP, in the preparation of reports, does not assume responsibility for the accuracy of information furnished by Client or any other person, firm or corporation. 4. Trading Authorization. Fee Based Non Discretionary Account (Initial), Fee Based Discretionary Account (Initial), By initialing above, Client hereby grants VIP discretionary authority to manage the Account. VIP shall supervise and direct, in its sole discretion, the investments of and for the Account without further consultation with Client, subject however, to such limitations and restrictions as Client may impose by notice, in writing, to VIP Using this authority, VIP may: (a) buy, sell, exchange, convert and otherwise trade in any and all stocks, bonds and other securities as VIP may select (b) Establish, maintain and deal through accounts with one or more securities brokerage firms as VIP may select, to effect purchases or sales of securities, as agent for the Account. 5. Execution Services and Settlements. All transactions authorized by this Agreement shall be consummated by payment to or delivery by Client, or Client s custodian, of all cash and/or securities due to or from the Account. VIP shall not, under any circumstances, act as custodian for the Account or take or have possession of any assets of the Account. VIP shall instruct all brokers executing orders on behalf of the Account to forward to Client or Client s custodian, copies of notices of all transactions, promptly after execution. VIP shall not be responsible for any loss incurred by reason of any act or omission of any broker or custodian. When placing orders for the Account, VIP will attempt to secure the best price and execution possible, commensurate with receiving research and other services (including quotation and information retrieval equipment) helpful to managing assets for clients. Since we do not recommend, suggest, or make available a selection of custodians other than SEI and TD Ameritrade, and we have not verified whether their transaction fees are competitive with another custodian, best execution may not always be achieved. Therefore, you do not have to accept our recommendation to use either of these financial institutions as your custodian. However, if you elect to use another custodian, we may not be able to provide you complete institutional services. 6. Fees and Terms of Payment. The compensation of VIP for its services shall be calculated in accordance with the attached Fee Schedule unless otherwise indicated on the attached Investment Management Fee Schedule. Fees will be payable Monthly, in arrears, based upon a valuation of the Account at the end of each monthly period. Upon termination by either party, the effective date of termination shall be used as the concluding date for valuation of the Account. The final charge for investment services shall cover the period from the most recent valuation date to the termination date, and 3

4 VIP agrees to refund any prepaid fee, prorated to the termination date. Client agrees that VIP may change its fees upon 30 days advance written notice to Client. 7. Fee Authorization. Client hereby authorizes the custodian of the Account to pay VIP its management fee directly from the Account, as invoiced by VIP. The custodian of the Account may rely on the invoices submitted by VIP, and will have no responsibility to calculate or verify fees so invoiced. 8. Notices. All notices and other communications contemplated by this Agreement shall be deemed duly given if transmitted to VIP at the address first above written and to Client at the address appearing below, or at such other address or addresses as shall be specified, in each case, in a notice similarly given. 9. Issuer Communications, Proxy Voting, and Related Actions. You understand and agree that you may retain the right to vote all proxies, which are solicited for securities held in your managed accounts. However, if you have specified on your custodian account agreement that you would not like to receive or vote on proxies, you have elected for VIP to have that voting authority. 10. Privacy Policy and Form ADV II. VIP s Privacy Policy will be mailed to each client. Client(s) hereby acknowledges receiving a copy of Form ADV II by initialing the following line(s):, 11. Authority of Client. The execution and delivery of this Agreement by Client shall constitute the representation by Client that the terms hereof do not violate any obligation by which Client is bound, whether arising by contract, operation of law or otherwise, and if client is a corporation, that (a) this agreement has been duly authorized by appropriate corporate action and, (b) when so executed and delivered, will be binding upon Client in accordance with its terms. Client agrees to deliver to VIP such evidence of such authority as VIP may reasonably require. If this Agreement is entered into by trustee or other fiduciary, such trustee or fiduciary represents that VIP s program is within the scope of investments authorized pursuant to any applicable plan, trust and/or applicable law and that he is duly authorized to negotiate the terms of this Agreement, including fees, and to enter into this Agreement, and agrees to provide such supporting documentation as may be required by VIP. Client warrants that securities delivered to Client s custodian are free of any encumbrances. Client undertakes to inform VIP, as applicable, of any event which might affect the authority or the property of this Agreement 12. Dispute Resolution Procedure. Any controversy or claim arising out of or relating to services to Client under this Agreement, or the construction or breach thereof, shall be settled by arbitration before a panel of independent arbitrators, established in accordance with the arbitration rules of a recognized alternative dispute resolution organization selected by VIP. Judgment on the award rendered by the arbitrators shall be final and may be entered in any court having jurisdiction thereof. 13. Termination. This Agreement may be terminated by and upon either party giving thirty (30) days written notice to the other party. If Client has not received Part II of VIP s Form ADV at least 48 hours prior to the date of this Agreement, Client shall have the right to terminate the Agreement without penalty, within five (5) business days from the date of signing this Agreement. 14. Limit of Liability. Except as otherwise provided by federal or state securities laws, the Advisor, acting in good faith, shall not be liable for any action, omission, investment recommendations/decision, or loss in connection with this Agreement including, but not limited to, the investment of assets in the Account or the acts and/or omissions of other professionals or third party service providers recommended to the Client by the Advisor, including a broker dealer and/or custodian. If the Account contains only a portion of the Client s total assets, Advisor shall be responsible for those assets that the Client has designated to be the subject of the Advisor s investment management services under this Agreement without consideration to those additional assets not so designated by the client. 4

5 15. Risk Acknowledgement. Advisor does not guarantee the future performance of the Account or any specific level of performance, the success of any investment recommendation or strategy that Advisor may recommend and/or take for the Account. Client understands that investment recommendations and/or decisions for the Account are subject to various markets, currency, economic, political and business risk, and that those investment recommendations and/or decisions will not always be profitable. 16. Modification, Intent and Assignment. This Agreement shall not be changed, modified, terminated, or discharged in whole or in part, except by an instrument in writing signed by both parties hereto or their respective successors or assigns; provided, however, that VIP may unilaterally amend the Fee Schedule referred to in paragraph 7, effective upon thirty (30) days advance written notice to Client of such amendment. This agreement constitutes the entire Agreement between the parties with regard to the investment advisory matters described herein, superseding all prior oral and written communications, proposals, negotiations, representations, understanding, courses of dealings, agreement, contracts and the like between parties. No assignment of this Agreement by VIP shall be effective without the consent of the Client. 17. Capacity to Contract. The Client represents that he/she is of legal age and no one except the person(s) signed this Agreement has an interest in the account. If the Client is signing on behalf of others, the Client represents that the persons or entities on whose behalf the Client is signing is authorized to enter into this Agreement and the Client is duly authorized to sign the Agreement and make representations herein in the name and on behalf of such other persons or entities. 18. ERISA Accounts. If this Agreement is entered into by a trustee or other fiduciary ("Fiduciary") of an employee benefit plan ("Plan") subject to the Employee Retirement Income Security Act ("ERISA"), such Fiduciary represents and warrants that (a) the execution and delivery of, and the acts contemplated under, the Account Documents are permitted by and in accordance with the Plan's governing instruments; (b) such instruments provide that an "investment manager" (as defined under ERISA) may be appointed for the Plan; and (c) such Fiduciary is a "named fiduciary" (as defined under ERISA) who has the power under the plan to appoint an investment manager. 19. Signatures. By signing below, both parties acknowledge that this account and Client s relationship with VIP will be governed by this Investment Advisory Agreement, its Account Application, and all incorporated agreements and/or disclosures. Client signature Print Name Date Client Signature Print Name Date Client Signature Print Name Date Agreed and accepted by Veritas Independent Partners, Inc.: Investment Advisor Signature Print Name Date VIP Signature Print Name Date 5

6 INVESTMENT MANAGEMENT FEE SCHEDULE Investment management fees are determined according to the fair market value of securities under management. All fees are collected monthly in arrears and are subject to change. Custody services are billed separately by the company providing safekeeping of the client assets (if applicable). Special services will be charged based on time, complexity and responsibility involved. There are no termination fees for Veritas Independent Partners. Standard Fee Schedule UP TO $49, % per year $50,000 $99, % per year $100,000 $249, % per year $250,000 $999, % per year $1,000,000 and up 1.0% per year Special circumstances may require an adjustment to this schedule. Billing Instructions: The client will be billed according to the fee schedule above and will begin at the following rate: % The following accounts are included in the total AUM to determine the clients' placement on the fee schedule: This is a no fee, non managed account (do not charge a fee) The fees for the following account/accounts: should be paid from Account # Due to special circumstances, the client will deviate from the regular fee schedule. Provide details here: 6

7 COST BASIS INFORMATION To assist us in the setup of your account on our system, and so that we can provide you with accurate reports and minimize the capital gains tax, it is important that we receive purchase date and cost information for all securities held in the account. Please check here if you do not currently own any securities (in this account) and the account is starting off with cash or cash equivalent. Please check here if you have the information available, and please provide it to us by o ing it in excel or PDF format to o Faxing it to o Mailing it to : o Or by attaching it to this agreement Please check here if you DO NOT have this information and sign the attached Letter of Authorization, this will allow us to obtain information from your current custodian or brokerage firm. This Space Intentionally Left Blank 7

8 Veritas (ver i tahs) Noun, Latin Truth, particularly of a transcendent character LETTER OF AUTHORIZATION To: From: Veritas Independent Partners, LLC On behalf of: Date: RE: Account(s): I hereby authorize the above custodian ((or brokerage firm), its affiliates, and their respective directors, officers, agents, employees and representative to provide Veritas Independent Partners, LLC, any and all requested information regarding any present or prior accounts (s) owned by me (including those referenced above), of whatever nature including but not limited to cost information, copies of my account statements, applications, or like documentation. I hereby agree to hold harmless the above custodian (or brokerage firm), its affiliates, and their respective directors, officers, agents, employees, and representatives from and against all claims, actions, cost liabilities, lawsuits, demands, or damages, including without limitations, any and all court cost and reasonable attorney s fees arising out of, or relating to the release of such information authorized herein. Client signature Print Name Date Client Signature Print name Date 1150 Bob Courtway Dr, Suite 50, Conway, Arkansas

INVESTMENT ADVISORY AGREEMENT INSTRUCTIONS

INVESTMENT ADVISORY AGREEMENT INSTRUCTIONS INVESTMENT ADVISORY AGREEMENT INSTRUCTIONS Please find attached (or enclosed) the following documents: 1. Investment Advisory Agreement 2. Schedule A: Investment Management Fee Schedule 3. Schedule B:

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

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

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

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

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 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 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

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

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

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

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

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

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

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

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 This CLIENT ADVISORY AGREEMENT (this Agreement ) dated is made between Liberty Partners Capital Management, LLC, a Wyoming-based limited liability company, hereinafter referred to as LPCM or Adviser and

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

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

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

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

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

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 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 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

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

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

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

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

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 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 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

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

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

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

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

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 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

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

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

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

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

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

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 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

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

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

INVESTMENT ADVISORY AGREEMENT

INVESTMENT ADVISORY AGREEMENT INVESTMENT ADVISORY AGREEMENT AGREEMENT, made this day of, between the undersigned party,, whose mailing address is (hereinafter referred to as the CLIENT ), and Money Strategies, Inc. a registered investment

More information

HOURLY CONSULTING AGREEMENT

HOURLY CONSULTING AGREEMENT 4245 Kemp Blvd., Suite 1007 Wichita Falls, Texas 76308 HOURLY CONSULTING AGREEMENT This is an agreement between Personal Money Planning ( Advisor ), and ( Client ). By this agreement, Client retains Advisor

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

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

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

INVESTMENT ADVISORY AGREEMENT

INVESTMENT ADVISORY AGREEMENT INVESTMENT ADVISORY AGREEMENT Global Market Raiders, 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

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

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

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

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

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

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

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

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

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

SANDLAPPER Wealth Management, LLC. A SANDLAPPER company. Investment Management Agreement

SANDLAPPER Wealth Management, LLC. A SANDLAPPER company. Investment Management Agreement 800 E North Street 2 nd Floor Greenville, SC 29601 Investment Advisory Agreement Office/Advisor: / Account Number: This Agreement is entered into by and between: Client(s) (hereinafter referred to as you

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

1.841661.108 018540101

1.841661.108 018540101 Questions? Go to FidelityCharitable.org or call 1-800-262-6935. Charitable Investment Advisor Program Investment Advisor Firm Agreement Information Investment Advisor Firm Agreement This Agreement (the

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

Ridgeway Conger Advisory Services, Inc. 2123 Main St. New Woodstock NY 13122

Ridgeway Conger Advisory Services, Inc. 2123 Main St. New Woodstock NY 13122 Ridgeway Conger Advisory Services, Inc. 2123 Main St. New Woodstock NY 13122 INVESTMENT MANAGEMENT AGREEMENT This agreement is entered into among Ridgeway Conger Advisory Services, Inc. ("Adviser"), a

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

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

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

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

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

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- 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

Email: fullservicefa@interactivebrokers.com

Email: fullservicefa@interactivebrokers.com Please fill out all of the applicable fields and send to Interactive Brokers by any of the methods below: Email: fullservicefa@interactivebrokers.com Courier/Overnight Service: Interactive Brokers LLC

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

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

WEALTH ADVISORY SERVICES AGREEMENT

WEALTH ADVISORY SERVICES AGREEMENT WEALTH ADVISORY SERVICES AGREEMENT THIS AGREEMENT sets forth contract terms between truenorth Financial Services, LLC doing business as truenorth Wealth Advisors (truenorth, we or us) and Client 1 & Client

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

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

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

Insurance Market Solutions Group, LLC Sub-Producer Agreement

Insurance Market Solutions Group, LLC Sub-Producer Agreement Insurance Market Solutions Group, LLC Sub-Producer Agreement This Producer Agreement is made and entered into effective the day of, 20, by and between Insurance Market Solutions Group, LLC a Texas Company

More information

Four Ponds Financial Planning LLC Client Services Engagement Agreement: Financial Planning & Investment Consultation Services

Four Ponds Financial Planning LLC Client Services Engagement Agreement: Financial Planning & Investment Consultation Services Four Ponds Financial Planning LLC Client Services Engagement Agreement: Financial Planning & Investment Consultation Services Please review this Client Services Engagement Agreement ( Agreement ) carefully

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 Advisory Agreement

Discretionary Investment Advisory Agreement Discretionary Investment Advisory Agreement This INVESTMENT ADVISORY AGREEMENT (hereinafter referred to as the Agreement ) is made and entered into this day of _, 20, by and between investment advisory

More information

AGREEMENT FOR INVESTMENT CONSULTING SERVICES AND MARIN COUNTY EMPLOYEES RETIREMENT ASSOCIATION

AGREEMENT FOR INVESTMENT CONSULTING SERVICES AND MARIN COUNTY EMPLOYEES RETIREMENT ASSOCIATION AGREEMENT FOR INVESTMENT CONSULTING SERVICES AND MARIN COUNTY EMPLOYEES RETIREMENT ASSOCIATION This Agreement for Investment Consulting Services (hereinafter referred to as the Agreement ) is made and

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

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

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

UBS GLOBAL ASSET MANAGEMENT PRIVATE WEALTH SOLUTIONS SM PROGRAM CUSTODY AND EXECUTION AGREEMENT WITH UBS FINANCIAL SERVICES INC.

UBS GLOBAL ASSET MANAGEMENT PRIVATE WEALTH SOLUTIONS SM PROGRAM CUSTODY AND EXECUTION AGREEMENT WITH UBS FINANCIAL SERVICES INC. UBS GLOBAL ASSET MANAGEMENT PRIVATE WEALTH SOLUTIONS SM PROGRAM CUSTODY AND EXECUTION AGREEMENT WITH UBS FINANCIAL SERVICES INC. THIS CUSTODY AND EXECUTION AGREEMENT ( Agreement ) describes the securities

More information

ENVESTNET PRIVATE WEALTH MANAGEMENT PROGRAM TERMS AND CONDITIONS

ENVESTNET PRIVATE WEALTH MANAGEMENT PROGRAM TERMS AND CONDITIONS ENVESTNET PRIVATE WEALTH MANAGEMENT PROGRAM TERMS AND CONDITIONS By executing the Statement of Investment Selection (the SIS ) attached here, Client has entered into an agreement with an independent financial

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

Interactive Brokers Hong Kong Agreement for Advisors Providing Services to Interactive Brokers Clients

Interactive Brokers Hong Kong Agreement for Advisors Providing Services to Interactive Brokers Clients Interactive Brokers Hong Kong Agreement for Advisors Providing Services to Interactive Brokers Clients This Agreement is entered into between Interactive Brokers Hong Kong Ltd ("IB") and the undersigned

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

Payroll Services Agreement

Payroll Services Agreement Payroll Services Agreement THIS PAYROLL SERVICES AGREEMENT (the Agreement ) is made and entered into this day of, 20, by and between Susan Arnoldussen, of Accounting Unlimited, LLC (the Payroll Service

More information

SOLICITOR APPLICATION

SOLICITOR APPLICATION Date: / / SOLICITOR APPLICATION General Information Name: Birth Date: / / Office Address: City: State: Zip: E-mail address: Business phone: ( ) - Fax number: ( ) - Assistant s Name: Registered Investment

More information

Foresters Equity Services, Inc. Investment Advisor Representative Contract

Foresters Equity Services, Inc. Investment Advisor Representative Contract Foresters Equity Services, Inc. Investment Advisor Representative Contract Re: Advisory Referral Arrangements We are pleased that you are interested in becoming registered as an Investment Advisor Representative

More information

F I R M B R O C H U R E

F I R M B R O C H U R E Part 2A of Form ADV: F I R M B R O C H U R E Dated: 03/24/2015 Contact Information: Bob Pfeifer, Chief Compliance Officer Post Office Box 2509 San Antonio, TX 78299 2509 Phone Number: (210) 220 5070 Fax

More information

CLS Investments, LLC Instructions for the Solicitor Application and Agreement

CLS Investments, LLC Instructions for the Solicitor Application and Agreement CLS Investments, LLC Instructions for the Solicitor Application and Agreement Please complete all fields on page 1 of the Solicitor Application and Agreement. Some general guidelines are set forth below.

More information

ERISA 408(b)(2) Sample Advisory Agreement and Memorandum

ERISA 408(b)(2) Sample Advisory Agreement and Memorandum ERISA 408(b)(2) Sample Advisory Agreement and Memorandum The following memorandum and the accompanying sample Advisory Agreement are intended to highlight general considerations by investment advisers

More information