The Financial Advisory Services Agreement serves as the foundational document governing the relationship between financial advisors and their clients in the United States. This agreement is essential when establishing professional financial advisory services and must comply with the Investment Advisers Act of 1940, state securities regulations, and other applicable laws. The document typically covers comprehensive service descriptions, fee structures, fiduciary obligations, risk disclosures, and regulatory compliance requirements. It's particularly crucial for registered investment advisors and firms providing ongoing financial guidance, portfolio management, or investment advisory services.
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1. Parties: Identification of the financial advisor and client, including legal status and contact details
2. Background: Context of the agreement and brief description of services to be provided
3. Definitions: Key terms used throughout the agreement
4. Scope of Services: Detailed description of financial advisory services to be provided
5. Fees and Payment Terms: Compensation structure, payment schedule, and expenses
6. Term and Termination: Duration of agreement and conditions for termination
7. Confidentiality: Protection of client information and trade secrets
8. Fiduciary Duties: Advisor's obligations to act in client's best interest
9. Representations and Warranties: Statements of fact and promises made by both parties
10. Limitation of Liability: Extent and limitations of advisor's liability
1. Performance Reporting: Details of performance measurement and reporting methodologies - include when managing investment portfolios
2. Sub-Advisor Provisions: Terms governing use of sub-advisors - include when advisor may delegate responsibilities
3. Insurance Requirements: Professional liability insurance obligations - include when required by regulatory requirements or client preference
4. Non-Solicitation: Restrictions on soliciting employees or clients - include when protecting business relationships is crucial
1. Schedule A - Fee Schedule: Detailed breakdown of all fees and charges including management fees, performance fees, and expenses
2. Schedule B - Investment Policy Statement: Client's investment objectives, constraints, and guidelines
3. Schedule C - Disclosure Documents: Required regulatory disclosures and Form ADV
4. Schedule D - Service Level Agreement: Specific performance metrics and service standards
5. Schedule E - Authorized Representatives: List of authorized persons who can act on behalf of the client
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