Description
What’s Included in the Bundle?
- Discretionary Investment Management Agreement – Define investment authority and client-advisor relationships.
- Investment Subadvisory Agreement – Establish clear terms between primary and sub-advisors.
- Adviser Agreement on Equity Compensation with 12-Month Repurchase – Secure compensation terms with equity provisions.
- Investment Advisery Agreement – Cover the scope of services, fees, and responsibilities for investment advisors.
- Investment Adviser Representative Agreement – Clarify expectations between advisors and their representatives.
- Financial Planning Agreement – Set clear financial planning terms for clients.
- Model Provider Agreement – Ensure compliance when utilizing third-party investment models.
- ERISA 321 Investment Advisery Services Agreement – Establish fiduciary responsibilities under ERISA guidelines.
- ERISA 338 Investment Advisery Services Agreement – Define discretionary fiduciary services for retirement plans.
- Promoter Agreement – Outline promotional partnerships and referral compensation.
- Investment Management and QPAM Agreement – Comply with QPAM exemption requirements for managing pension assets.
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