Investment Management Agreement

Size: px
Start display at page:

Download "Investment Management Agreement"

Transcription

1 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 with the United States Securities and Exchange Commission pursuant to the provisions of the Investment Advisors Act of 1940, agrees to manage investments for the above referenced account ("you") on the following terms: 1. Appointment You appoint us to manage assets for you effective when all parties have executed this Agreement. The assets to be managed will be held in custody by the qualified Custodian indicated in the Client Authorization & Acceptance Section of this Agreement. 2. Services You grant us authority to manage this account on a discretionary basis. We will make all the decisions to buy, sell or hold securities, cash or other investments for your account. You grant us limited power and authority to carry out these decisions by giving instructions, on your behalf, to the Custodian or broker/dealer for your account. You authorize us to provide a copy of this Agreement to the Custodian or broker/dealer through which transactions for your account are to be effected as evidence of our authority under this Agreement. Your investment objectives are indicated in the Client Authorization & Acceptance Section of this Agreement. You will advise us in writing if you want to amend your investment objectives in a way that would affect the way we manage your account. 3. Account Transactions We will arrange for trades to be placed through the Custodian identified in the Client Authorization & Acceptance Section. We will seek competitive transaction rates that have been negotiated through the Custodian of your choice but may be higher than other custodians used by LCA. 4. Custody of Assets The qualified Custodian you have selected and named in the Client Authorization & Acceptance Section of this Agreement, will hold your account assets. You give us authority to instruct the Custodian, on your behalf, to purchase, sell, redeem or exchange any security, cash or other investments for your account. The Custodian will send all Page 1 of 11

2 transaction confirmations and monthly statements to you and provide us with electronic copies of those statements. 5. Cancellation You will have five (5) business days to rescind the contract during which time you will be entitled to a full refund of fees. You have the right to cancel this Agreement or liquidate your account at any time by notifying us in writing. We may cancel this Agreement at any time by providing written notice to you. Our authority under this Agreement will remain in effect until either party changes or cancels it in writing. Upon termination, you are responsible for monitoring the securities in your account, and LCA as investment adviser will have no further obligation to act or advise you with respect to those assets. Any unearned portion of advisory fees paid in advance is refunded upon termination. 6. Reports We will provide you with quarterly statements showing the assets in your account, opening and closing balances, current market value, and performance including your total management fee. Off cycle performance reports, transaction reports and other informational reports are available on request and may not include your management fees. It is your responsibility to review your statement for any errors or omissions. You must reconcile your LCA Performance Statement with the statement from your Custodian and report to us immediately if you notice any discrepancies. 7. Fees A. Management Fees LCA will charge your account an investment management fee based on the value of your assets under management. In addition, the Investment Advisor Representative who referred your account to LCA will also charge a fee based on the value of your assets under management. Both fees are mutually agreed upon and are disclosed in the LCA Solicitor s Disclosure & Fee Sharing Agreement, a document that accompanies this Investment Management Agreement. The investment management fee will be charged on all assets (securities, cash and cash equivalents), in the account unless otherwise agreed upon between parties. The initial investment management fee will be pro-rated and based on the number of days your account is managed during the current calendar quarter. Additional investments greater than $50,000 or redemptions/withdrawals greater than $50,000 will have fees pro-rated based on the total amount of the transaction and the number of days in the calendar quarter that investment management services were provided by LCA. You will have five (5) business days to rescind this contract during which time you will be entitled to a full refund of fees paid. LCA s fees are billed on a pro-rata annualized basis quarterly in advance or in arrears and may be calculated upon the market value of your account on the last business day of the quarter or by using your account s Average Daily Balance during the previous quarter. If your account is closed during the quarter, you will receive a refund of any prepaid unearned fees or will receive a statement requiring payment of earned fees not yet paid. What determines when fees are billed, how fees are calculated and how terminations are handled is the billing procedure of your Investment Advisor Representative s broker/dealer or registered investment advisory firm to which LCA provides its services. Page 2 of 11

3 If you have more than one account with LCA, you may elect to have the fees charged to each individually managed account; charged to one account for multiple managed accounts. You may request that related accounts be combined in order meet fee break points and reduce the investment management fee charged. LCA reserves the right to adjust our fee schedule. In the event of any such adjustment, you will be provided with written notice sent to your address of record 30 days prior to the adjustment being instituted. The Custodian will send you a quarterly statement showing all transactions and amounts deposited and/or paid from your account, including the LCA investment management fee. LCA will also provide you with a quarterly statement showing the performance, as well as the total investment management fee, the account value on which the fee was based and how the fee was calculated. You are responsible for verifying the fee computations and notifying LCA immediately upon discovery of a discrepancy. B. Other Fees Fees charged by LCA and the Investment Advisor Representative for investment management services are separate and distinct from any fees charged by mutual funds or exchange traded funds, which are disclosed in the fund s prospectus. The Custodian may also charge fees, which may include, but are not limited to, ticket charges, account termination, wired funds, returned/cancelled check, and overnight express. 8. Account Values The Custodian will value the securities in your account that are listed on a national securities exchange at the closing price, on the valuation date, of the principal exchange on which the securities are traded. The Custodian will value other securities or investments in your account in a manner that we believe, in good faith, reflects their fair market value. 9. Confidentiality All information and advice furnished by either party to the other, including their respective agents and employers shall be treated as confidential. Such information shall not be disclosed to third parties except as you otherwise agree, is required by law, or is necessary to carry out designated powers granted by you. You will receive a copy of our Privacy Policy upon signing this Agreement and every year thereafter. 10. Other Services We manage investments for other clients and may give them advice or take actions for them, for our own accounts or for accounts of persons related to us that are different from the advice we give to you or actions we take for you. We are not obligated to buy, sell or recommend for you any security or other investment that we may buy, sell or recommend for any other clients or for our own accounts. Conflicts may arise in the allocation of investment opportunities among accounts that we advise. We will seek to allocate investment opportunities among such accounts equitably and consistent with the best interests of all accounts involved and in accordance with the firm's Allocation Policy. If we obtain material non-public information about a security or its issuer that we may not lawfully use or disclose, we will have no obligation to disclose the information to you or use it for your benefit. Page 3 of 11

4 11. Risk/Liability We cannot guarantee the future performance of your account, promise any specific level of performance or promise that our investment decisions, strategies or overall management of your account will be successful. The investment decisions we will make for you are subject to various market, currency, economic, political and business risks and will not necessarily be profitable. In managing your account, we will not consider any other securities, cash or other investments you own, outside of your account with us, unless you have provided written special instructions in the Client Authorization & Acceptance Section of this Agreement. We will not be liable to you for any loss (i) that you may suffer as a result of our good faith decisions or actions where we exercise the degree of care, skill, prudence and diligence that a prudent person acting in a fiduciary capacity would use; (ii) caused by following your instructions; (iii) caused by the Custodian or any broker/dealer to which we direct transactions for your account; (iv) caused by any Solicitor or Solicitor s Investment Advisor Representative; or (v) by any other person. Except for gross negligence or willful malfeasance, LCA nor any of its respective directors, officers, employees, shareholders, controlling persons or affiliates shall be liable hereunder for any action performed or omitted to be performed or for any errors of judgment in managing the account. LCA and its respective directors, officers, employees, shareholders, controlling persons or affiliates shall each have no liability to any person for the acts and omissions of any third party. Client hereby agrees to indemnify and hold harmless LCA and its respective directors, officers, employees, shareholders, controlling persons or affiliates from all losses, claims, damages or liabilities incurred on account of or, arising out of any inaccuracy of the representations and warranties made by Client in this Agreement. The federal securities laws and certain state securities laws impose liabilities under certain circumstances on persons who act in good faith, and therefore nothing herein shall in any way constitute a waiver or limitation of any rights that Client may have under any federal or state securities laws. 12. Legal Actions and Class Action Lawsuits We will not advise you or act for you in any legal proceedings, including bankruptcies or class actions involving securities held in your account or the issuers of those securities. We will forward any information received by us regarding such legal actions pertaining to any securities held in your account. 13. Proxy Voting We will not vote or advise you how to vote proxies for securities held in your account. The Custodian should promptly send you all proxies and related shareholder communications for the securities held in your account. We are expressly precluded from rendering any advice or taking any action with respect to the voting of proxies. 14. Terms of this Agreement This Agreement will continue in effect until either party cancels it by giving written notice to the other. Termination of this Agreement will not affect (i) the validity of any action we have previously taken; (ii) liabilities or obligations for transactions started before termination; or (iii) obligation to pay fees through the date of termination. Upon termination, our responsibility to take any actions with securities, cash or other investments in your account will cease. Page 4 of 11

5 15. Your Authority to Hire Us By signing this Agreement, you represent to us that you have the legal authority and capacity to hire us to manage the assets in your account. 16. Your Death or Disability Your death, disability or incompetence will not automatically terminate or change the terms of this Agreement. However, your executor, guardian, attorney-in-fact or other authorized representative may cancel this Agreement by giving written notice to us. 17. Assignment We may not assign this Agreement without your consent. You will be notified in writing of any changes in our corporate structure that would affect management control. 18. Governing Law The laws of the State of Georgia will govern this Agreement. However, nothing in this Agreement will be construed contrary to the Advisers Act or any rule or order of the Securities and Exchange Commission under the Advisers Act. 19. Notices You may send notices to us or we may send notices to you at the address of record. Duplicate notices may be forwarded to a third party address upon written request. 20. Dispute Resolutions A. Good-faith Negotiations If any dispute arises under this Agreement with respect to a claim for losses that is not settled promptly in the ordinary course of business, the parties shall seek to resolve any such dispute between them, first, by negotiating promptly with each other in good faith in face-to-face negotiations. If the parties are unable to resolve such dispute between them within thirty (30) business days (or such period as the parties shall otherwise agree) through these face-to-face negotiations, then the parties shall seek to resolve any such dispute between them through non-binding mediation conducted in Marietta, Georgia within thirty (30) business days following the termination of the parties' face-to-face negotiations (or such period and place as the parties shall otherwise agree). If the parties are unable to resolve such dispute through mediation, the client may elect to have any such dispute resolved in the manner set forth in Section 20 (b) below. B. Arbitration If the parties do not resolve a dispute under Section 20 (a), the dispute shall be settled by arbitration conducted on a confidential basis, under the U.S. Arbitration Act, if applicable, and the then current Commercial Arbitration Rules of the American Arbitration Association (the "Association") strictly in accordance with the terms of this Agreement and the substantive law of the State of Georgia. The arbitration shall be conducted at the Association's regional office located in the Atlanta, Georgia area by three arbitrators, at least one of whom shall be knowledgeable regarding businesses similar to this business, one of whom shall be an attorney and one of whom shall be a member of a nationally recognized accounting firm familiar with businesses engaged in providing services similar to the Company's business. Judgment upon the arbitrators' award may be entered and enforced in any court of competent jurisdiction. Neither party shall institute Page 5 of 11

6 a proceeding hereunder unless at least 60 days prior thereto such party shall have given written notice to the other party of its intent to do so. In any award, the arbitrators shall assess the arbitration costs and expenses, including attorneys' fees of the parties, in a manner deemed equitable by the arbitrators, taking into account the arbitration decision. 21. Other If any provision of this Agreement is or becomes inconsistent with any applicable law or rule, the provision will be deemed rescinded or modified to comply with such law or rule. In all other respects this Agreement will continue in full force and effect. No term of this Agreement may be waived or changed except in writing signed by both you and us. Failure to insist on strict compliance with this Agreement or with any of its terms or any continued conduct will not be considered a waiver by either you or us of our rights under the Agreement. This Agreement contains the entire understanding between you and us. This Section Intentionally Left Blank Page 6 of 11

7 Roles & Responsibilities "LCA" will provide advisory services as defined below: Serve as the platform manager and operate the technology on which the program assets exist Make sub-advisors portfolios available to clients for investment selection Provide sufficient asset classes with different expected return/volatility profiles so that the Client can prudently diversify their portfolio Provide and monitor the Investment Portfolios Monitor the performance of the investment products used in the LCA Model Portfolios Complete due diligence on available sub-advisors Rebalance the Client Portfolios upon discretion Handle Trade Requests submitted to us by Investment Advisor Representative Prepare, present, or provide access to appropriate reports to Client, or Investment Advisor Representative "Sub-Advisor will: Manage the assets under their supervision in accordance with the guidelines and objectives outlined in their respective Service Agreements, Prospectus, or Trust Agreement Exercise full investment discretion with regards to buying, managing, and selling assets held in the portfolios "Relationship Manager, Advisor, Investment Advisor Representative" will: Submit all required new account paperwork to LCA for approval Prudently select investment options for the Client's consideration Assist the Client in making an appropriate asset allocation decision based on the particular needs, objectives, and risk profile of the Client Notify LCA of the Client's portfolio allocation selection Notify LCA in writing of any changes in Client's financial profile and objective Be available to meet as requested Facilitate all clients' ongoing requests to LCA "Client, Account Owner" will: Provide Investment Advisor Representative and LCA with all relevant information on their financial condition, net worth, and risk tolerance Notifying the Investment Advisor Representative and LCA promptly of any changes to this information Page 7 of 11

8 Trade Requests Your Investment Advisor Representative is responsible for submitting Trade Requests to LCA via . LCA will not be held responsible for any delays in the trading process caused by missing information. LCA is available to execute trades between 9:30 a.m. and 4:00 p.m. EST however; trade requests received after 2:30 p.m. EST will be executed on a best efforts basis. There is no guarantee your trades will be executed if extenuating circumstances prevail. This includes complex requests that may require more than one day to complete. Investment Advisor Representative is responsible for confirming the execution of all trade requests, reviewing the client's account next day to confirm execution and immediately notifying LCA of any errors or omission found in the client s account. If LCA determines it is responsible for an identified error, LCA will be jointly liable up to 5 days, and Investment Advisor Representative is severally liable thereafter. Investment Advisor Representative does not have any of the aforementioned responsibilities on trades made by LCA on a discretionary basis. Client Authorization & Acceptance Executive Summary Account Name: Initial Investment Amount: Type of Account/Registration: Tax Status: Investment Objective Investment Time Horizon: Approximate Investable Net Worth: Approximate Total Net Worth: Annual Income: Income Needs from Account Assets: Special Instructions: Investment Advisor Representative: Page 8 of 11

9 Statement of Investment Selection Your portfolio strategy allocation is based on your specific risk tolerance, investment objectives, and time horizons. Below are the LCA portfolios you and your investment advisor have selected: Portfolio Name 1: Portfolio Name 2: Portfolio Name 3: Portfolio Name 4: Portfolio Name 5: Custodian Amount Investment Management Agreement Authorization and Acceptance By your signature(s) below, you agree to the terms of this Agreement. Upon execution by all parties, a copy of this Agreement will be mailed to you. You acknowledge that, at times, variations from model portfolios will be made on your behalf to accommodate your individual financial circumstances. Such variations may include the purchase, sale or holding of securities other than the securities in the model portfolios. You acknowledge your acceptance of the Investment Advisory fees. You acknowledge that you have received, read and understand: o o LCA s Form ADV Part 2A LCA s Privacy Policy Confirmation and Statement Preferences By providing your address you consent to receive Quarterly Performance Statements and certain communications by electronic delivery. Types of communications LCA may send on a varying basis can and may include our Form ADV Part 2A and any material changes, disclosures mandated by regulatory requirements, and Privacy Policy updates. Changes or updates to your client Agreement, and any information LCA may deem necessary will be attached to the back of the Quarterly Performance Statements regardless of delivery preferences. Quarterly Performance Statements Additional Mandatory Regulatory Updates LCA Form ADV, Part 2A LCA Privacy Policy Address: Page 9 of 11

10 If no address is provided then it will default to paper statements and communications by regular US Post Office mail to your address on record. Your delivery requirements will be applied across all accounts in your household. Therefore, if this is a new account, your choice of electronic delivery will be applied to all of your existing accounts. The address you provide should be your own personal address and not that of your authorized agent or Investment Advisor Representative to ensure direct delivery to you as the account holder. The address you provide in this application will replace any other existing LCA has for you unless you state otherwise. Adopted by the below signed Investor(s): Client Signature Print Name Date Joint Client Signature Print Name Date Joint Client Signature Print Name Date Joint Client Signature Print Name Date This Section Intentionally Left Blank Page 10 of 11

11 Reviewed by: By your signature(s) below you hereby acknowledge reviewing the following documents with the Client: LCA Form ADV Part 2A LCA Privacy Policy Investment Advisor Representative Print Name Date Investment Advisor Representative Print Name Date BD/RIA/OSJ Firm (If Applicable) BD/RIA/OSJ Principal Signature Print Name Date Accepted by: LCA Representative Signature Print Name Date Rejected by: LCA Officer Signature Print Name Date Reason for Rejection: 600 Village Trace, Building 23, Suite 300, Marietta, GA Page 11 of 11

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

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

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 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 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

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 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. 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

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 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

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

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

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

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 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

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

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

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

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

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 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

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

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 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

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

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

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

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 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 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

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

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

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

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

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

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 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

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

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

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

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 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 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 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

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

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 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

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

Client Services Agreement: Financial Planning and Investment Consultation

Client Services Agreement: Financial Planning and Investment Consultation Client Services Agreement: Financial Planning and Investment Consultation Please review this Client Services Engagement Agreement ( Agreement ) carefully as it sets forth the understanding between you

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

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

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

DISCRETIONARY INVESTMENT ADVISORY AGREEMENT

DISCRETIONARY INVESTMENT ADVISORY AGREEMENT DISCRETIONARY INVESTMENT ADVISORY AGREEMENT AGREEMENT, made this between the undersigned party,, whose mailing address is (hereinafter referred to as the CLIENT ), and ROCKINGSTONE ADVISORS LLC, whose

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

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

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

Investment Advisory Agreement / ASPire Strategist

Investment Advisory Agreement / ASPire Strategist This Agreement describes the relationship between VERITY ASSET MANAGEMENT (hereinafter Firm ) and Investment Advisory Agreement / ASPire Strategist 280 S. Mangum Street 550 Diamond View II Durham, NC 27701

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

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

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

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

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

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

Limited Power of Attorney (LPOA)

Limited Power of Attorney (LPOA) Limited Power of Attorney (LPOA) Page 1 of 3 Investment Advisor ( IA ) Information (This portion to be completed by IA.) IA Firm Name (Please print.) IA Master Account Number Service Team Advisor Contact

More information

Cornerstone Asset Management Services, Inc.

Cornerstone Asset Management Services, Inc. Asset Management Services, Inc. Client Background Information Form Account Title/Owner: Date of Birth: SSN: Joint Owner: Date of Birth: SSN: Address: For Office Use Only: Received: [ ] Scanned [ ] Emailed

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

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

INTRODUCING BROKER COMMODITY FUTURES CUSTOMER AGREEMENT WITH E*TRADE SECURITIES LLC

INTRODUCING BROKER COMMODITY FUTURES CUSTOMER AGREEMENT WITH E*TRADE SECURITIES LLC INTRODUCING BROKER COMMODITY FUTURES CUSTOMER AGREEMENT WITH E*TRADE SECURITIES LLC Re: Supplement to Commodity Futures Customer Agreement dated between MF Global, Inc ( MF Global ) and the customer named

More information

Manager Select Wrap Fee Brochure

Manager Select Wrap Fee Brochure Manager Select Wrap Manager Fee Select Brochure Wrap Fee Brochure Wealth Management Services Manager Select Wrap Fee Brochure December 1, 2015 This brochure provides information about the qualifications

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

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

BUYING AGENCY AGREEMENT

BUYING AGENCY AGREEMENT THIS AGREEMENT ( Agreement ) is made this day of, 20xx, by and between, with its principal place of business at referred to hereinafter as Buyer, and, with its principal office at, hereinafter referred

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

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 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

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

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

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

DATA USE AGREEMENT RECITALS

DATA USE AGREEMENT RECITALS DATA USE AGREEMENT This Data Use Agreement (the Agreement ), effective as of the day of, 20, is by and between ( Covered Entity ) and ( Limited Data Set Recipient or Recipient ) (collectively, the Parties

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

SAMPLE MODEL LANGUAGE FOR EDWARD JONES TRUST COMPANY FOR THE USE OF LEGAL COUNSEL ONLY

SAMPLE MODEL LANGUAGE FOR EDWARD JONES TRUST COMPANY FOR THE USE OF LEGAL COUNSEL ONLY SAMPLE MODEL LANGUAGE FOR EDWARD JONES TRUST COMPANY FOR THE USE OF LEGAL COUNSEL ONLY This sample model language is provided for the reference of the drafting attorney as an educational and informational

More information

Investment Management Agreement Wrap Fee Accounts. Four High Ridge Park Stamford, CT 06905 Telephone: 203.388.2700 Fax: 203.321.

Investment Management Agreement Wrap Fee Accounts. Four High Ridge Park Stamford, CT 06905 Telephone: 203.388.2700 Fax: 203.321. Investment Management Agreement Wrap Fee Accounts Four High Ridge Park Stamford, CT 06905 Telephone: 203.388.2700 Fax: 203.321.0071 www.advicewithvision.com This is an Agreement between Vision Investment

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

COLLABORATION AGREEMENT

COLLABORATION AGREEMENT COLLABORATION AGREEMENT This Collaboration Agreement ( Agreement ) is made by and between Microryza Inc., a Delaware corporation (the Company ) and, a Delaware Corporation (the University ) (together with

More information

Keystone Financial Planning, Inc.

Keystone Financial Planning, Inc. Keystone Financial Planning, Inc. 7261 Engle Road Suite 308 Middleburg Heights, Ohio 44130 Telephone: 440.234.6323 Facsimile: 440.234.6844 Website: www.keystonefin.com February 10, 2014 FORM ADV PART 2

More information

SPOTLIGHT ON. Advisory and Fee Agreements

SPOTLIGHT ON. Advisory and Fee Agreements SPOTLIGHT ON Advisory and Fee Agreements The contents of this Spotlight have been prepared for informational purposes only, and should not be construed as legal or compliance advice. Designing an advisory

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

Intrinsic Value Asset Management LLC

Intrinsic Value Asset Management LLC Item 1 Cover Page Intrinsic Value Asset Management LLC 118 Live Oak Lane, Largo, Florida 33770 727-238-3579 http://www.intrinsicvalue.com December 31, 2015 This Brochure provides information about the

More information

INDEPENDENT VIRTUAL ASSISTANT AGREEMENT (Company)

INDEPENDENT VIRTUAL ASSISTANT AGREEMENT (Company) INDEPENDENT VIRTUAL ASSISTANT AGREEMENT (Company) This Independent Virtual Assistant Agreement ( Agreement ) is entered into as of,, by and between, with a principal place of business at ( Company ), and,

More information

Independent Investment Advisors, Inc.

Independent Investment Advisors, Inc. 901 Mopac Expressway South Barton Oaks Plaza One, Suite 300 Telephone:512-633-0944 Facsimile: 512-730-1633 January 27, 2013 FORM ADV PART 2A BROCHURE This brochure provides information about the qualifications

More information

SEED CAPITAL CORP BUSINESS CONSULTING SERVICES AGREEMENT

SEED CAPITAL CORP BUSINESS CONSULTING SERVICES AGREEMENT SEED CAPITAL CORP BUSINESS CONSULTING SERVICES AGREEMENT This Business Consulting Services Agreement (this "Agreement"), dated as of, 200 (the Effective Date ), is between and among, an individual residing

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

FORESTERS ADVISORY SERVICES, LLC PREMIER MUTUAL FUND ADVISORY PROGRAM CLIENT AGREEMENT

FORESTERS ADVISORY SERVICES, LLC PREMIER MUTUAL FUND ADVISORY PROGRAM CLIENT AGREEMENT FORESTERS ADVISORY SERVICES, LLC PREMIER MUTUAL FUND ADVISORY PROGRAM CLIENT AGREEMENT This Premier Mutual Fund Advisory Program Client Agreement ( Agreement ) is made as of the Effective Date, as that

More information

PRODUCT SALES AGREEMENT

PRODUCT SALES AGREEMENT PRODUCT SALES AGREEMENT This Product Sales Agreement (this Agreement ) is made as of the day of, 201, by and between Georgia Tech Applied Research Corporation, a Georgia non-profit corporation ( Seller

More information

Financial Planning/Consulting Services Agreement

Financial Planning/Consulting Services Agreement Client s Name: Joint Client s Name: Investment Advisor Representative: Date of this Agreeement: Client and Joint Client (collectively Client ), Transamerica Financial Advisors, Inc. ( TFA ), an investment

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

Atlas Capital Group, LLC. Form ADV Part 2A Appendix 1: Wrap Fee Program Brochure. W3561 County Road O Appleton, WI 54913. Telephone: 920-659-1202

Atlas Capital Group, LLC. Form ADV Part 2A Appendix 1: Wrap Fee Program Brochure. W3561 County Road O Appleton, WI 54913. Telephone: 920-659-1202 Atlas Capital Group, LLC Form ADV Part 2A Appendix 1: Wrap Fee Program Brochure W3561 County Road O Appleton, WI 54913 Telephone: 920-659-1202 This wrap fee brochure provides information about the qualifications

More information