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.
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 Contract Template
"I need a Financial Advisor Contract Template for my newly established RIA firm that will primarily serve high-net-worth individuals, with specific provisions for alternative investments and quarterly performance reporting, planned to launch in March 2025."
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
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.
