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INVESTMENT ADVISORY AGREEMENT This Investment Advisory Agreement (Agreement) is entered into as of the date set forth on the signature page hereof by and between CONFLUENCE INVESTMENT MANAGEMENT LLC,

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How to fill out this investment advisory agreement

01

To fill out this investment advisory agreement, follow these steps:

02

Start by entering the heading or title of the agreement, typically stating 'Investment Advisory Agreement'.

03

Include the names of both the investment advisor and the client in the agreement.

04

Specify the effective date of the agreement, which marks the date on which the agreement comes into effect.

05

Define the scope of the advisory services to be provided by the investment advisor.

06

State the fee structure, including how and when the advisor will be compensated.

07

Outline the responsibilities of both the advisor and the client in the agreement.

08

Include any regulatory or compliance disclosures required by law.

09

Specify the termination provisions, including the circumstances under which the agreement can be terminated.

10

Include any additional terms and conditions that are relevant to the agreement.

11

Sign and date the agreement, with both parties acknowledging their acceptance of the terms.

Who needs this investment advisory agreement?

01

This investment advisory agreement is needed by individuals or entities seeking professional investment advice and guidance.

02

It is commonly used by individuals who want to engage the services of an investment advisor to manage their assets and make investment decisions on their behalf.

03

Investment firms, financial institutions, and corporations that offer investment advisory services also require this agreement to establish a legal relationship with their clients.

04

Any individual or entity entering into an advisory relationship can benefit from having a clear and comprehensive agreement in place to outline the terms and conditions of the services provided.

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What is this investment advisory agreement?

This investment advisory agreement is a contract between an investor and an investment advisor outlining the terms of the advisory relationship.

Who is required to file this investment advisory agreement?

The investor and the investment advisor are required to file this agreement.

How to fill out this investment advisory agreement?

The agreement should be filled out with the necessary information about the investor's financial goals and the advisor's services.

What is the purpose of this investment advisory agreement?

The purpose of this agreement is to establish the responsibilities and expectations of both parties in the advisory relationship.

What information must be reported on this investment advisory agreement?

Information such as the investor's risk tolerance, investment objectives, and fees must be reported on this agreement.

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