The Financial Advisor Agreement Template is essential for establishing a professional relationship between financial advisors and their clients in the United States. This agreement is designed to comply with federal securities laws, including the Investment Advisers Act of 1940, and state-specific regulations. It provides a framework for defining services, responsibilities, and compensation while protecting both parties' interests. The document is particularly crucial for registered investment advisors (RIAs) and other financial professionals who must maintain compliance with SEC and FINRA requirements.
Create a bespoke document in minutes, Â or upload and review your own.
Get your first 2 documents free
Your data doesn't train Genie's AI
You keep IP ownership of your information
Financial Advisor Agreement Template
"I need a Financial Advisor Agreement Template for my wealth management firm that specializes in high-net-worth international clients, with specific provisions for cross-border transactions and multiple currency handling, to be implemented by March 2025."
1. Parties: Identifies the financial advisor and the client, including full legal names and contact details
2. Background: Establishes the context of the agreement and the parties' intentions
3. Definitions: Defines key terms used throughout the agreement
4. Scope of Services: Details the specific financial advisory services to be provided
5. Fiduciary Obligations: Outlines the advisor's fiduciary responsibilities to the client
6. Compensation: Specifies fees, payment terms, and billing procedures
7. Confidentiality: Describes handling of confidential information and privacy obligations
8. Term and Termination: Specifies duration and conditions for ending the agreement
1. Investment Authority: Required if advisor has discretionary trading authority. Used when advisors are managing client portfolios directly
2. Third-Party Services: Describes involvement of external service providers. Used when additional service providers are part of the arrangement
3. Insurance Coverage: Details of required professional liability insurance. Used when specific insurance requirements exist
4. International Services: Provisions for cross-border advisory services. Used when serving international clients
1. Fee Schedule: Detailed breakdown of all fees and charges
2. Investment Policy Statement: Document outlining investment objectives and constraints
3. Risk Disclosure Statement: Detailed disclosure of investment risks
4. Privacy Policy: Detailed privacy practices and procedures
5. Form ADV: SEC registration and disclosure document
6. Service Level Agreement: Specific performance metrics and service standards
Authors
Find the exact document you need
Sub Advisor Agreement
A U.S.-governed agreement establishing the relationship between a primary investment advisor and sub-advisor for delegated investment management services.
Startup Advisory Board Agreement
A U.S.-governed agreement establishing the relationship between a startup and its advisory board members, including duties, compensation, and obligations.
Senior Advisor Agreement
A U.S.-governed contract establishing terms for senior advisory services, including scope, compensation, and confidentiality provisions.
Investment Consulting Agreement
A U.S.-governed agreement establishing terms for investment consulting services, compliant with federal and state securities laws.
Investment Advisory Agreements
A U.S.-governed agreement establishing the terms and conditions between an investment advisor and client, subject to federal and state securities laws.
Investment Advisor Contract
A U.S.-governed agreement establishing the terms and conditions between an investment advisor and client, compliant with federal securities laws.
Financial Consulting Services Agreement
A U.S.-governed agreement establishing terms for professional financial consulting services, including scope, fees, and regulatory compliance requirements.
Financial Consulting Engagement Letter
A U.S.-compliant document establishing the terms and conditions between a financial consultant and client, outlining services, fees, and responsibilities.
Financial Consulting Agreement
A U.S.-governed agreement defining terms for professional financial advisory services between a consultant and client, compliant with federal and state regulations.
Financial Consultant Contract
A U.S.-governed agreement establishing terms between a financial consultant and client, covering services, compensation, and regulatory compliance.
Financial Advisory Services Agreement Template
A U.S.-compliant agreement establishing the terms and conditions for professional financial advisory services between an advisor and client.
Financial Advisory Services Agreement
A U.S.-governed agreement establishing the terms for professional financial advisory services, compliant with federal and state securities laws.
Financial Advisory Agreement
A U.S.-governed agreement establishing the terms for providing professional financial advisory services, compliant with federal and state securities regulations.
Financial Advisor Contract Template
A U.S.-compliant contract template establishing the terms and conditions between a financial advisor and client, addressing key regulatory requirements and service parameters.
Financial Advisor Confidentiality Agreement
A U.S.-governed agreement protecting confidential information exchanged between financial advisors and their clients.
Financial Advisor Agreement Template
A U.S.-governed agreement establishing the terms and conditions between a financial advisor and client, compliant with SEC and FINRA regulations.
Advisory Services Contract
A U.S.-governed contract establishing terms for professional advisory services between a consultant and client.
Advisory Services Agreement
A U.S.-governed contract establishing terms for professional advisory services between a service provider and client.
Advisor Contract
A U.S.-governed contract establishing terms for professional advisory services, including scope, compensation, and obligations.
Advisor Agreement Startup Template
A U.S.-compliant legal agreement establishing the terms and conditions between a startup and its advisor, including services, compensation, and confidentiality provisions.
Advisor Agreement Form
A U.S. legal document establishing terms and conditions for advisory services, including scope, compensation, and obligations.
Download our whitepaper on the future of AI in Legal
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
Our bank-grade security infrastructure undergoes regular external audits
We are ISO27001 certified, so your data is secure
Organizational security
You retain IP ownership of your documents
You have full control over your data and who gets to see it
Innovation in privacy:
Genie partnered with the Computational Privacy Department at Imperial College London
Together, we ran a £1 million research project on privacy and anonymity in legal contracts
Want to know more?
Visit our for more details and real-time security updates.
Read our Privacy Policy.