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INDIVIDUAL INVESTMENT ADVISORY AGREEMENT (Discretionary Authority) Tone Investment Services 22 Common Street Waterville, Maine 04901 Date: I hereby retain Tone Investment Services as Investment Advisor

How to fill out individual investment advisory agreement

How to fill out an individual investment advisory agreement:

1. Start by reviewing the document: Before filling out the individual investment advisory agreement, carefully read through the entire document to ensure you understand the terms and conditions.
2. Personal information: Begin by providing your personal information, such as your full name, address, contact details, and social security number. This information is necessary to identify you as the investor and ensure compliance with regulatory requirements.
3. Investment objectives: Clearly state your investment objectives in the agreement. This includes specifying your financial goals, risk tolerance, and desired time horizon. It helps the investment advisor understand your needs and tailor their advice accordingly.
4. Risk disclosure: Acknowledge and understand the risks involved in investing by carefully reading the risk disclosure section of the agreement. Make sure you are comfortable with the level of risk outlined and seek clarification if needed.
5. Fee structure: Familiarize yourself with the fee structure outlined in the agreement. This includes management fees, performance fees, and any other related expenses. Ensure you understand how and when fees will be charged, and clarify any concerns with the investment advisor.
6. Services provided: Clearly define the services you expect from the investment advisor. This may include portfolio management, financial planning, tax advice, or other specific services. Make sure the agreement accurately reflects the services you require to align your expectations with those of the advisor.
7. Termination clause: Review the termination clause, which outlines the conditions under which either party can terminate the agreement. Understand the notice period required and any associated fees or penalties. This allows you to evaluate flexibility and make informed decisions.
8. Sign and date: Once you have carefully reviewed all sections, sign and date the individual investment advisory agreement. By doing so, you acknowledge that you have read, understood, and agreed to all the terms and conditions within the document.

Who needs an individual investment advisory agreement?

1. Individuals seeking professional investment advice: Individuals who want assistance in managing their investment portfolios or require financial planning guidance can benefit from having an individual investment advisory agreement. This agreement ensures a formalized relationship with an investment advisor, providing clarity and structure.
2. High-net-worth individuals: High-net-worth individuals often have complex financial situations that require expert advice. An individual investment advisory agreement can help protect their interests and tailor investment strategies to their specific needs.
3. Those with limited investment knowledge: Individuals who possess limited knowledge about investing can benefit from an individual investment advisory agreement. Hiring an investment advisor can provide guidance and ensure their investments align with their goals and risk tolerance.
4. Retirement planning: Individuals planning for retirement often seek professional investment advice to ensure their savings are efficiently allocated. An individual investment advisory agreement can help in building a suitable retirement portfolio and managing it effectively.

In summary, filling out an individual investment advisory agreement involves understanding its terms, providing personal information, specifying investment objectives, reviewing risk disclosures and fees, outlining desired services, and signing the agreement. This agreement is beneficial for individuals seeking professional investment advice, high-net-worth individuals, those with limited investment knowledge, and individuals planning for retirement.

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What is individual investment advisory agreement?

An individual investment advisory agreement is a contract between an investment advisor and a client outlining the terms of the advisory relationship.

Who is required to file individual investment advisory agreement?

Investment advisors who provide individualized advice to clients are required to file individual investment advisory agreements.

How to fill out individual investment advisory agreement?

Individual investment advisory agreements can be filled out by providing information about the advisor's services, fees, investment strategies, and client's financial goals.

What is the purpose of individual investment advisory agreement?

The purpose of an individual investment advisory agreement is to establish a clear understanding of the advisory relationship, services provided, and responsibilities of both the advisor and the client.

What information must be reported on individual investment advisory agreement?

Individual investment advisory agreements typically require information on the advisor's background, fees, services offered, investment approach, and potential conflicts of interest.