The Investment Advisory Agreement Template serves as the foundational document governing the relationship between investment advisors and their clients in the United States. This document is essential for compliance with the Investment Advisers Act of 1940 and various state regulations. It is used when establishing new advisory relationships and must address key regulatory requirements including fiduciary duty, fee arrangements, custody rules, and privacy regulations. The agreement typically includes detailed provisions about investment authority, risk disclosures, service scope, and termination rights, while incorporating necessary SEC and state-specific compliance elements. It's particularly crucial for registered investment advisors (RIAs) to maintain current, compliant agreements with all clients.
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1. Parties: Identifies the investment advisor and client, including full legal names and addresses
2. Background: Establishes that advisor is registered under applicable laws and client wishes to engage advisor's services
3. Definitions: Key terms used throughout the agreement including 'Services', 'Investment Policy', 'Assets', 'Fees'
4. Scope of Services: Detailed description of investment advisory services to be provided
5. Fiduciary Duty: Statement of advisor's fiduciary obligations to client
6. Fees and Compensation: Details of fee structure, calculation method, and payment terms
7. Authority and Custody: Extent of advisor's discretionary authority and custody arrangements
8. Representations and Warranties: Standard representations from both parties
9. Term and Termination: Duration of agreement and termination provisions
1. ERISA Provisions: Required provisions when managing retirement account assets subject to ERISA regulations
2. Proxy Voting: Details of proxy voting arrangements and responsibilities
3. Sub-Advisory Arrangements: Terms and conditions for the use of sub-advisors or third-party managers
4. Financial Planning Services: Additional terms covering comprehensive financial planning services when included
1. Fee Schedule: Detailed breakdown of all fees and charges applicable to the services
2. Investment Policy Statement: Detailed document outlining client's investment objectives, constraints, and guidelines
3. Privacy Policy: Advisor's privacy policies and procedures for handling client information
4. Form ADV Part 2: Advisor's disclosure brochure as required by SEC regulations
5. Trading Authorization: Limited power of attorney document specifying trading authority permissions
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