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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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
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