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DISCRETIONARY INVESTMENT ADVISORY AGREEMENT This AGREEMENT for investment advisory services is entered into as of the date referenced below, between Fell and Company, Inc. d/b/a Fell advisor, a registered

How to fill out non-discretionary investment advisory agreement

How to fill out a non-discretionary investment advisory agreement:

1. Start by carefully reading the agreement: Before filling out the non-discretionary investment advisory agreement, it is crucial to thoroughly read and understand all the terms and conditions mentioned in the document. Make sure you are aware of your rights and obligations as an investor.
2. Gather all necessary information: Collect all the information required to complete the agreement. This may include your personal details, financial information, investment objectives, risk tolerance, and any specific instructions or restrictions you have regarding your investments.
3. Consult with an investment advisor if necessary: If you have any doubts or questions regarding the agreement, it is always advisable to consult with a professional investment advisor or legal counsel. They can provide guidance and ensure that you understand the terms and implications of the agreement.
4. Complete the personal details section: Fill in your personal information accurately, including your full name, contact details, and any other relevant identification information as requested in the agreement.
5. Specify investment objectives and restrictions: Clearly state your investment objectives and any specific restrictions or guidelines you want the advisor to follow. This may include factors such as desired return, risk tolerance, sector preferences, or ethical considerations.
6. Provide financial information: Disclose your financial situation, including your income, assets, liabilities, and any other pertinent financial details. This information helps the advisor to better understand your financial position and tailor their recommendations accordingly.
7. Review fee structure and compensation: Pay close attention to the fee structure mentioned in the agreement. Understand how the advisor will be compensated for their services and ensure that it aligns with your expectations and budget.
8. Review and understand the terms and conditions: Read through all the terms and conditions of the agreement. This includes provisions related to termination of the agreement, dispute resolution, liability, and any other important clauses. Make sure you are comfortable with all the terms before proceeding.

Who needs a non-discretionary investment advisory agreement?

A non-discretionary investment advisory agreement may be suitable for individuals or entities who want to have an active role in making investment decisions but still seek the expertise and guidance of a professional investment advisor. It is generally used by clients who want the advisor to provide recommendations and advice, but not take full control or authority over the investment portfolio. This allows clients to have a say in the decision-making process while leveraging the expertise of the advisor.

For pdfFiller’s FAQs

What is non-discretionary investment advisory agreement?

Non-discretionary investment advisory agreement is an agreement where the advisor makes investment recommendations to the client, but the client ultimately has the authority to approve or deny the recommendations.

Who is required to file non-discretionary investment advisory agreement?

Investment advisors who provide non-discretionary investment advisory services are required to file the agreement.

How to fill out non-discretionary investment advisory agreement?

Non-discretionary investment advisory agreements can be filled out by including details of the advisor-client relationship, investment objectives, scope of authority, fees, and other relevant information.

What is the purpose of non-discretionary investment advisory agreement?

The purpose of non-discretionary investment advisory agreement is to establish the terms of the advisory relationship, clarify the roles of the advisor and client, and provide a framework for managing investments.

What information must be reported on non-discretionary investment advisory agreement?

Information such as client's investment objectives, risk tolerance, financial situation, investment restrictions, authorization levels, and compensation arrangement must be reported on non-discretionary investment advisory agreement.

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