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.
Your data doesn't train Genie's AI
You keep IP ownership of your information
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
OR
Let tiktok³ÉÈË°æ's market-leading legal AI identify missing terms, unusual language, compliance issues and more - in just seconds.
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
Authors
Relevant legal definitions
Clauses
Relevant Industries
Relevant Teams
Relevant Roles
Find the exact document you need
Sub Advisory Agreement Template
A U.S.-governed agreement between investment advisers delegating investment management responsibilities while maintaining SEC compliance.
find out more
Startup Advisory Board Agreement Template
A U.S.-compliant legal agreement establishing terms between startups and their advisory board members.
find out more
Startup Advisor Contract
A U.S.-governed legal agreement establishing the relationship between a startup and its advisor, including services, compensation, and obligations.
find out more
Startup Advisor Agreement Template
A U.S.-compliant legal agreement defining the relationship between a startup and its advisor, including services, compensation, and obligations.
find out more
Startup Advisor Agreement
A U.S.-governed legal agreement that establishes the terms and conditions between a startup and its advisor, including services, compensation, and confidentiality obligations.
find out more
Simple Advisor Agreement Template
A U.S.-compliant legal agreement establishing the terms and conditions between an advisor and client for professional advisory services.
find out more
Real Estate Advisory Services Agreement
A U.S.-governed agreement defining the terms and conditions for professional real estate advisory services between an advisor and client.
find out more
Nonprofit Advisory Board Agreement Template
A U.S.-compliant legal agreement establishing the relationship between a nonprofit organization and its advisory board members.
find out more
Investment Advisory Agreement Template
A U.S.-governed agreement establishing the terms and conditions between an investment advisor and client, compliant with federal and state securities laws.
find out more
Customer Advisory Board Agreement
A U.S.-governed agreement establishing terms for customer participation in a company's advisory board, including confidentiality and IP provisions.
find out more
Consulting Firm Contract Template
A U.S.-compliant contract template governing the relationship between consulting firms and their clients, outlining services, terms, and mutual obligations.
find out more
Business Advisor Agreement
A U.S.-governed contract establishing terms for professional business advisory services between an advisor and client company.
find out more
Advisory Shares Agreement
A U.S. legal agreement governing the issuance of company shares to an advisor in exchange for their advisory services.
find out more
Advisory Services Agreement Template
A U.S.-compliant legal agreement establishing the terms and conditions for professional advisory services between an advisor and client.
find out more
Advisory Engagement Letter
A U.S.-compliant formal document establishing the terms and conditions of an advisory relationship between a professional advisor and their client.
find out more
Advisory Contract Template
U.S.-compliant template for establishing professional advisory relationships and services.
find out more
Advisory Board Member Agreement Template
A U.S.-governed agreement establishing terms and conditions for advisory board members' service, including duties, compensation, and confidentiality obligations.
find out more
Advisory Board Member Agreement
A U.S. legal agreement establishing terms and conditions for advisory board membership, including duties, compensation, and confidentiality obligations.
find out more
Advisory Board Indemnification Agreement
A U.S. legal agreement protecting advisory board members from personal liability by providing indemnification for actions taken in their advisory capacity.
find out more
Advisory Board Engagement Letter
A U.S. legal document establishing the terms and conditions of an individual's appointment to a company's advisory board, including roles, compensation, and obligations.
find out more
Advisory Board Contract Template
A U.S.-compliant legal agreement establishing the terms and conditions between a company and its advisory board members.
find out more
Advisory Board Consulting Agreement
A U.S.-governed agreement establishing terms for advisory board services, including scope, compensation, and confidentiality obligations.
find out more
Advisory Board Confidentiality Agreement
A U.S.-governed agreement protecting confidential information shared with advisory board members during their engagement with an organization.
find out more
Advisory Board Agreement Template
A U.S.-governed legal agreement establishing the terms and conditions for an individual's service on a company's advisory board.
find out more
Advisory Board Agreement
A U.S.-governed agreement establishing the terms and conditions for an individual's service on a company's advisory board, including duties, compensation, and confidentiality obligations.
find out more
Advisor Contract Template
A U.S.-governed contract template establishing terms for professional advisory services, including scope, compensation, and obligations.
find out more
Advisor Contract Agreement
A U.S.-governed agreement establishing the terms and conditions between a client and an advisor, including service scope, compensation, and obligations.
find out more
Advisor Agreement Template
A U.S.-compliant legal agreement defining the relationship between a company and its advisor, including services, compensation, and obligations.
find out more
³Ò±ð²Ô¾±±ð’s Security Promise
Genie is the safest place to draft. Here’s how we prioritise your privacy and security.
Your documents are private:
We do not train on your data; ³Ò±ð²Ô¾±±ð’s AI improves independently
All data stored on Genie is private to your organisation
Your documents are protected:
Your documents are protected by ultra-secure 256-bit encryption
We are ISO27001 certified, so your data is secure
Organizational security:
You retain IP ownership of your documents and their information
You have full control over your data and who gets to see it
.png)