FREE 20+ Investment Advisory Agreement Samples in MS Word | Google Docs | Pages | PDF

As a business owner, there will come a time when you will need to work with a financial professional which provides you with a number of benefits especially if you need specific guidance or clarification on how to effectively and efficiently manage your investments and funds. Working with these professionals will require you to sign a document called an investment advisory agreement which outlines the terms and conditions as well as the services’ scope of work.

20+ Investment Advisory Agreement Samples

1. Investment Advisory Agreement Template

2. Basic Investment Advisory Agreement Template

3. Printable Investment Advisory Agreement Template

4. Amended and Restated Investment Advisory Agreement Template

5. Investment Advisory Agreement Example

6. Formal Investment Advisory Agreement Template

7. Financial Planning and Investment Advisory Agreement Template

8. Standard Investment Advisory Agreement Template

9. Investment Advisory Services Agreement Template

10. Investment Advisory Agreement Schedule Template

11. Investment Advisory Client Agreement Template

12. Individual Account Investment Advisory Agreement Template

13. Simple Investment Advisory Agreement Template

14. Investment Advisory Management Agreement Template

15. Investment Advisory Fee Agreement Template

16. Discretionary Investment Advisory Agreement Template

17. Investment Advisory Account Application and Agreement Template

18. Investment Advisory Agreement Format

19. Ethical Program Investment Advisory Agreement Template

20. Private Investment Advisory Agreement Template

21. Investment Advisory Agreement in PDF

What is an Investment Advisory Agreement?

An investment advisory agreement is a contract agreement that provides an outline of the relationship between an investment advisor and the client. It is a legally binding document that also provides details about the advisor’s scope of services, their compensation plan, and the roles and responsibilities of the parties involved. Investment advisory agreements aim to establish a clear mutual understanding between the parties about the services that will be delivered as well as the fixed amount of compensation to be received.

How to Create an Investment Advisory Agreement

Investment advisory agreements contain information about the services that a financial advisor will be provided as well as the compensation they will be receiving from the client. Advisory agreements are utilized to provide business owners and freelancers with protection while efficiently navigating the international economy. Other documents that business owners can use include investment worksheets, project investment contracts, company investment contracts, and financial investment proposals.

Step 1: Include the Services to be Provided and a Termination Clause

Write down the services that the advisor will provide as well as the extent of the agreement. Another section that needs to be included in this agreement is a termination clause which expresses the tenure in which an investment advisor is required to provide their services.

Step 2: Provide the Compensation Plan and Relative Expenses

Most businesses seek the approval of their board of directors to authorize the pay that an advisor will be receiving. There are compensation policies that most startups implement and these company policies must be mentioned in the advisory agreement. It should also contain related expenses that the advisor will have while working for your company as well as a compensation clause.

Step 3: Define the Parties’ Nature of Relationship and Dispute Resolution

Define the outline and limitations of the parties’ nature of the relationship which helps in preventing possible misunderstandings between the advisor and their client. The agreement’s dispute resolution will help fast settling of disputes to avoid heavy litigation costs and time-consuming court proceedings.

Step 4: State Relevant Governing Law and Jurisdiction

It is important to include a statement for relevant governing laws and jurisdictions when creating an investment advisory agreement. You also have to include a clause for conflict of interest that defines the duties and rights of the advisor when dealing with the company.

FAQs

It is one of the responsibilities of a business owner to ensure effective and efficient management of all aspects of their business operations which includes money and investment risk management. Working with professionals to help them in managing these factors, business owners sign an investment advisory agreement with a financial advisor. It outlines the scope of their services, the extent of the agreement, and the terms and conditions that both parties have mutually agreed upon.