Investment Advisory Agreements are essential documents in the United States financial services industry, required whenever a registered investment advisor provides professional investment management and advisory services to clients. These agreements must comply with both federal regulations, including the Investment Advisers Act of 1940, and applicable state laws. They detail the scope of services, fee structures, fiduciary duties, and risk disclosures, while providing legal protection for both parties. The agreement becomes particularly important in light of SEC oversight and the advisor's fiduciary responsibility to act in the client's best interest.
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1. Parties: Identification of the investment advisor and client, including legal names and addresses
2. Background: Context of the agreement and basic understanding between parties
3. Definitions: Key terms used throughout the agreement
4. 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: Fee structure, payment terms, and calculation methods
7. Authority: Scope of advisor's discretionary/non-discretionary authority
8. Risk Disclosure: Investment risks and limitations
9. Termination: Terms for ending the agreement
1. ERISA Provisions: Required provisions when dealing with retirement accounts subject to ERISA regulations
2. Proxy Voting: Terms and conditions for handling proxy voting rights on behalf of the client
3. Custody Arrangements: Specific terms and conditions regarding custodial arrangements of client assets
4. Sub-Advisory Arrangements: Terms and conditions for engaging and managing third-party investment managers
1. Fee Schedule: Detailed breakdown of all fees, charges, and calculation methods
2. Investment Policy Statement: Detailed document outlining client's investment objectives, constraints, and guidelines
3. Privacy Policy: Comprehensive statement of advisor's privacy practices and procedures
4. Form ADV: SEC-required disclosure document providing detailed information about the advisor's business practices
5. Trading Authorization: Specific details of trading permissions and limitations granted to advisor
6. Risk Disclosure Statement: Comprehensive explanation of investment risks and potential conflicts of interest
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