The Financial Advisor Contract Template serves as a foundational document for establishing professional financial advisory relationships in the United States. This contract is essential when engaging a financial advisor for services such as investment management, financial planning, or wealth management. It incorporates requirements from federal regulations, including SEC and FINRA rules, while accommodating state-specific variations. The template includes comprehensive provisions for service scope, fiduciary obligations, compensation structures, and risk disclosures, making it suitable for both registered investment advisors (RIAs) and other financial professionals. The document's flexibility allows customization based on specific service offerings while maintaining compliance with applicable regulations and professional standards.
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Financial Advisor Contract Template
"I need a Financial Advisor Contract Template for my newly established RIA firm that will primarily serve high-net-worth individuals, with specific provisions for alternative investments and quarterly performance reporting, planned to launch in March 2025."
1. Parties: Identification of the Financial Advisor and Client, including full legal names and contact details
2. Background: Context of the agreement and general purpose of the advisory relationship
3. Definitions: Key terms used throughout the agreement
4. Scope of Services: Detailed description of financial advisory services to be provided
5. Fiduciary Obligations: Statement of fiduciary duties and responsibilities
6. Compensation: Fee structure, payment terms, and billing procedures
7. Term and Termination: Duration of agreement and termination provisions
8. Confidentiality: Privacy and data protection obligations
9. Representations and Warranties: Standard declarations by both parties
1. Custody Arrangements: Details of asset custody arrangements when advisor has custody of client assets
2. Sub-Advisory Services: Terms for engaging third-party advisors when external specialists may be needed
3. Insurance Coverage: Professional liability insurance details when specifically required by jurisdiction or client
4. Performance Reporting: Reporting frequency and format when regular performance updates are required
1. Fee Schedule: Detailed breakdown of all fees and charges
2. Investment Policy Statement: Client's investment objectives and constraints
3. Disclosure Documents: Form ADV Parts 2A and 2B, privacy notice, and other required disclosures
4. Risk Disclosure Statement: Detailed explanation of investment risks
5. Service Level Agreement: Specific service standards and response times
Authors
Advisory Services
Agreement
Affiliate
Assets Under Management
Authorized Person
Business Day
Client
Confidential Information
Custodian
Discretionary Authority
Effective Date
Fee Schedule
Fiduciary
Financial Advisor
Financial Plan
Investment Guidelines
Investment Objectives
Investment Policy Statement
Material Change
Non-Discretionary Authority
Portfolio
Privacy Policy
Professional Services
Registered Investment Advisor
Regulatory Authority
Representatives
Securities
Sub-Advisor
Term
Third-Party Service Provider
Scope of Services
Authority and Discretion
Fiduciary Duty
Compensation and Fees
Investment Objectives
Risk Disclosure
Confidentiality
Privacy Protection
Conflicts of Interest
Custody Arrangements
Reporting Requirements
Communication Methods
Termination Rights
Assignment
Liability and Indemnification
Regulatory Compliance
Representations and Warranties
Force Majeure
Dispute Resolution
Amendment Procedures
Notice Requirements
Governing Law
Severability
Entire Agreement
Non-Solicitation
Record Keeping
Death or Incapacity
Best Execution
Proxy Voting
Account Access
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