Last updated on May 3, 2026
Get the free Alternative Investment Addendum and Custody Agreement
We are not affiliated with any brand or entity on this form
Fill out
Complete the form online in a simple drag-and-drop editor.
eSign
Add your legally binding signature or send the form for signing.
Share
Share the form via a link, letting anyone fill it out from any device.
Export
Download, print, email, or move the form to your cloud storage.
Why pdfFiller is the best tool for your documents and forms
End-to-end document management
From editing and signing to collaboration and tracking, pdfFiller has everything you need to get your documents done quickly and efficiently.
Accessible from anywhere
pdfFiller is fully cloud-based. This means you can edit, sign, and share documents from anywhere using your computer, smartphone, or tablet.
Secure and compliant
pdfFiller lets you securely manage documents following global laws like ESIGN, CCPA, and GDPR. It's also HIPAA and SOC 2 compliant.
What is Alt Investment Agreement
The Alternative Investment Addendum and Custody Agreement is a service agreement used by National Financial Services, LLC and Fidelity Management Trust Company to custody certain types of assets in a customer's account.
pdfFiller scores top ratings on review platforms
Who needs Alt Investment Agreement?
Explore how professionals across industries use pdfFiller.
Alt Investment Agreement is needed by:
-
Individual investors looking to manage alternative assets
-
Broker-dealer representatives facilitating customer investments
-
Fidelity representatives overseeing asset custody
-
Financial advisors recommending custody solutions
-
Compliance officers ensuring regulatory adherence
Comprehensive Guide to Alt Investment Agreement
What is the Alternative Investment Addendum and Custody Agreement?
The Alternative Investment Addendum and Custody Agreement is a critical document that facilitates the custody of publicly and nonpublicly traded assets in a customer's account. This form outlines the roles and responsibilities of three main parties: the Customer, the Broker/Dealer Representative, and the Fidelity Representative. By clearly defining these roles, the agreement ensures effective asset management and aligns all parties on custody responsibilities.
This form is essential for individuals and institutions seeking to manage various alternative investments. It serves as a foundational tool in the investment custody process, helping parties navigate the complexities of maintaining assets under custody.
Purpose and Benefits of the Alternative Investment Addendum and Custody Agreement
The primary rationale for utilizing the Alternative Investment Addendum and Custody Agreement lies in the formalization of custody terms that enhance asset protection. By establishing clear responsibilities among the involved parties, this agreement promotes transparency and accountability, mitigating potential disputes.
Moreover, this form plays a significant role in ensuring compliance with prevailing financial regulations, thereby safeguarding both the investor and the custody provider. The benefits include well-defined terms and a stronger compliance framework, making it an indispensable tool in asset management.
Key Features of the Alternative Investment Addendum and Custody Agreement
This agreement encompasses several unique features, primarily focusing on the fillable fields that capture essential information. Key fields include:
-
First Name
-
Last Name
-
Signature of all parties involved
Additionally, the form includes critical terms related to indemnification and fee structures. To ensure authenticity and accountability, it requires multiple signatures, reinforcing the seriousness of the commitments being made.
Who Requires the Alternative Investment Addendum and Custody Agreement?
The target audience for the Alternative Investment Addendum and Custody Agreement primarily includes investors who manage alternative investments. The involved parties, notably the Customer, Broker/Dealer Representatives, and Fidelity Representatives, must fill out the form to formalize the custody arrangement.
Common scenarios where this agreement becomes necessary include the initial opening of an investment account and the execution of trades that require the management of traded assets.
How to Fill Out the Alternative Investment Addendum and Custody Agreement Online
Filling out the Alternative Investment Addendum and Custody Agreement online can be streamlined through platforms like pdfFiller. Follow these steps for a seamless experience:
-
Access the form and open it in the online editor.
-
Enter personal and account information in the designated fields.
-
Review all filled sections to ensure accuracy before submission.
Utilizing pdfFiller provides an intuitive interface, allowing users to navigate and complete the form efficiently. Double-checking your entries can save time and prevent delays in processing.
How to Sign or Notarize the Alternative Investment Addendum and Custody Agreement
Understanding the signing requirements for the Alternative Investment Addendum and Custody Agreement is crucial. There are distinct differences between digital signatures and traditional wet signatures, both of which are acceptable depending on the context.
Involvement from all parties is necessary for signing, ensuring that everyone acknowledges their responsibilities. To sign using digital methods, users can easily add eSignatures through platforms like pdfFiller, making the process straightforward and efficient.
Submission Methods for the Alternative Investment Addendum and Custody Agreement
Once the Alternative Investment Addendum and Custody Agreement is completed, users have several submission options. These include both online and physical submissions, depending on the requirements set by the respective financial institution.
It's essential to keep track of important deadlines and processing times after submission. Users can monitor the status of their submissions to ensure everything is processed timely and correctly.
What Happens After You Submit the Alternative Investment Addendum and Custody Agreement?
After submission, the Alternative Investment Addendum and Custody Agreement undergoes processing by Fidelity. Users can expect routine follow-up actions or confirmations as part of the process, ensuring transparency and communication.
If there are any issues or necessary amendments to the agreement, users should be informed about the steps to rectify these situations promptly, ensuring that their investment strategy remains on track.
Security and Compliance for the Alternative Investment Addendum and Custody Agreement
The security of the Alternative Investment Addendum and Custody Agreement is paramount. Platforms like pdfFiller implement robust security features such as encryption to protect sensitive information throughout the documentation process. Compliance with standards such as HIPAA and GDPR further reinforces the commitment to safeguarding user data.
Maintaining privacy while handling financial documents is crucial, and this agreement exemplifies a secure approach to documenting asset custody arrangements.
Discover the Benefits of Using pdfFiller for Your Alternative Investment Addendum and Custody Agreement
Utilizing pdfFiller for managing the Alternative Investment Addendum and Custody Agreement offers extensive capabilities, from editing and eSigning to document sharing. Its user-friendly interface simplifies the form-filling process, making it accessible for all users.
By exploring pdfFiller’s platform, users can enhance their document management experience significantly, ultimately ensuring that their investment processes are efficient and secure.
How to fill out the Alt Investment Agreement
-
1.Access the Alternative Investment Addendum and Custody Agreement on pdfFiller by searching its name in the platform's search bar.
-
2.Once opened, familiarize yourself with the form layout and locate the fillable fields designated for your information.
-
3.Before completing the form, gather necessary documents such as personal identification, account details, and any relevant investment information.
-
4.Begin filling out the form starting with the 'First Name' and 'Last Name' fields. Ensure accurate spelling and detail.
-
5.Complete the required fields for personal and account information as stipulated in the form's instructions.
-
6.Pay attention to the acknowledgment sections where you must indicate your understanding of responsibilities and fees.
-
7.Continue by signing in the designated 'Signature' field, ensuring you are authorized to sign on behalf of the customer.
-
8.After filling in all required fields, review the form carefully for omissions or errors.
-
9.Utilize pdfFiller’s review tool to check for any incomplete sections before finalizing.
-
10.Once satisfied, save your progress. You can choose to download the completed form for personal records or submit it directly through pdfFiller.
Who needs to sign the Alternative Investment Addendum and Custody Agreement?
The form requires signatures from the Customer, Broker/Dealer Representative, and a Fidelity Representative to validate the agreement and ensure all parties are aware of their responsibilities.
Is notarization required for this form?
No, notarization is not required for completing the Alternative Investment Addendum and Custody Agreement. Ensure that all required signatures are obtained instead.
What information do I need to complete this form?
You will need to gather personal identification data, account information, and details about the assets you wish to include for custody. This information is essential for filling out the form accurately.
How do I submit the Alternative Investment Addendum and Custody Agreement?
You can submit the completed form through pdfFiller directly, or download it and email or mail it to the appropriate Fidelity or National Financial Services office as directed.
What are common mistakes to avoid when filling out this form?
Common mistakes include missing signatures, failing to complete required fields, and not reviewing the entire form for accuracy. Double-check all entries before finalizing.
How long does processing of this agreement typically take?
Processing times can vary, but typically you can expect confirmation within a few business days. Check with your Fidelity representative for specific timelines.
Can I make changes after submitting the form?
If you need to make changes after submission, contact Fidelity or your broker-dealer representative immediately for guidance on correcting submitted information.
Related Forms
If you believe that this page should be taken down, please follow our DMCA take down process
here
.
This form may include fields for payment information. Data entered in these fields is not covered by PCI DSS compliance.