Get the free Investment Advisory Agreement

This agreement is entered into between Confluence Investment Management LLC and the undersigned client to provide discretionary portfolio management and investment advisory services for the client\'s existing portfolios. The Adviser has full discretionary authority over the portfolios, including the ability to buy and sell various securities and investments, subject to the client\'s investment guidelines and regulatory requirements.

How to fill out investment advisory agreement

How to fill out investment advisory agreement

1. Begin with the title 'Investment Advisory Agreement'.
2. Include the names and contact information of both the advisor and the client.
3. Clearly define the scope of advisory services to be provided.
4. State the fees for the services, including any performance-based fees.
5. Outline the duration of the agreement and termination clauses.
6. Include any disclosures required by regulatory agencies.
7. Specify the responsibilities of both the advisor and the client.
8. Include a confidentiality clause to protect sensitive information.
9. Provide a section for signatures and dates to finalize the agreement.

Who needs investment advisory agreement?

1. Individuals seeking professional investment management services.
2. Institutions looking for guidance on investment strategies.
3. Clients who require personalized financial planning advice.
4. Anyone who wants to formalize the advisory relationship legally.

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What is investment advisory agreement?

An investment advisory agreement is a contract between an investment advisor and their client, outlining the terms of investment advice and management services provided, including fees, responsibilities, and the scope of services.

Who is required to file investment advisory agreement?

Investment advisors who manage client assets and provide investment advice must file an investment advisory agreement with regulatory authorities, typically those who are registered with the SEC or state regulators.

How to fill out investment advisory agreement?

To fill out an investment advisory agreement, advisors should provide their business details, disclose fees, define the scope of services, include client information, and obtain the necessary signatures from the client and advisor.

What is the purpose of investment advisory agreement?

The purpose of an investment advisory agreement is to establish a clear understanding between the advisor and the client regarding the investment relationship, duties, obligations, fees, and governance.

What information must be reported on investment advisory agreement?

The investment advisory agreement must report the advisor's name, business address, description of services, fee structure, client responsibilities, dispute resolution procedures, and any potential conflicts of interest.