The Financial Plan Engagement Letter is a crucial document used in the United States financial services industry to formalize the relationship between financial advisors and their clients. It serves as both a legal contract and a detailed service agreement, outlining the scope of work, fees, and responsibilities of all parties involved. The document is designed to comply with federal regulations, including SEC requirements and state-specific laws, while clearly communicating the advisor's fiduciary duties. This letter is essential for protecting both the advisor and client, ensuring transparency, and meeting regulatory obligations.
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1. Introduction and Parties: Identification of the financial advisor/firm and client, including full legal names and contact information
2. Scope of Services: Detailed outline of financial planning services to be provided, including specific deliverables and timelines
3. Fiduciary Duty and Standards: Statement of fiduciary responsibility and commitment to act in client's best interests
4. Fee Structure and Payment Terms: Comprehensive breakdown of fees, payment schedule, and billing methods
5. Client Responsibilities: Outline of client's obligations including providing accurate information and required documentation
6. Confidentiality and Privacy: Privacy commitments and data protection measures in accordance with GLBA and other regulations
7. Term and Termination: Duration of engagement and procedures for termination by either party
8. Disclaimers and Limitations: Legal disclaimers and limitations of the financial planning services
1. Investment Management Services: Details of investment management services when offering direct investment management alongside financial planning
2. Tax Planning Services: Scope and limitations of tax planning advice when included in services
3. Estate Planning Services: Overview of estate planning services when included in the engagement
4. Insurance Planning: Details of insurance analysis and recommendations when included in scope
5. Retirement Planning: Specific retirement planning services and analysis when included
1. Schedule A - Fee Schedule: Detailed breakdown of all applicable fees, charges, and payment terms
2. Schedule B - Privacy Policy: Comprehensive privacy policy and information sharing practices
3. Schedule C - Form ADV: SEC registration document and disclosure brochure if applicable
4. Schedule D - Client Risk Profile: Documentation of client's risk tolerance and investment objectives
5. Schedule E - Service Level Agreement: Detailed breakdown of service expectations and deliverables
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