The Investment Advisor Contract serves as the foundational document governing the relationship between investment professionals and their clients in the United States. It is essential when establishing a formal investment advisory relationship and must comply with SEC requirements, state regulations, and the Investment Advisers Act of 1940. The contract typically includes detailed service descriptions, fee structures, fiduciary obligations, risk disclosures, and operational procedures. It's particularly important for registered investment advisors and is often required for regulatory compliance.
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1. Parties: Identification of the investment advisor and client, including registration details and contact information
2. Background: Context of the advisory relationship, advisor's qualifications, and regulatory status
3. Definitions: Key terms used throughout the agreement including 'Investment Property', 'Services', 'Fees', and regulatory terms
4. Services: Detailed description of investment advisory services, including scope, limitations, and discretionary authority
5. Fiduciary Obligations: Advisor's fiduciary responsibilities and duty of care to the client as required by federal and state laws
6. Fees and Compensation: Fee structure, payment terms, other costs, and disclosure of potential conflicts of interest
7. Risk Disclosures: Disclosure of investment risks and limitations of advisory services
8. Term and Termination: Duration of agreement, renewal terms, and conditions for termination by either party
9. Confidentiality: Protection of confidential information and privacy requirements under federal laws
10. Governing Law: Applicable law and jurisdiction governing the agreement
1. Custody Arrangements: Details of custodial arrangements and related disclosures when advisor has custody of client assets
2. ERISA Provisions: Special provisions required when managing retirement account assets subject to ERISA regulations
3. Performance Reporting: Methodology and frequency of performance reporting when such services are included
4. Proxy Voting: Terms regarding proxy voting authority and policies when advisor handles proxy voting
5. Sub-Advisory Arrangements: Terms governing use of sub-advisors when applicable to the engagement
1. Schedule A - Fee Schedule: Detailed breakdown of all fees, charges, and payment terms
2. Schedule B - Investment Policy Statement: Client's investment objectives, constraints, and guidelines
3. Schedule C - Form ADV Part 2: Advisor's disclosure brochure as required by SEC regulations
4. Schedule D - Privacy Policy: Advisor's privacy practices and policies under federal regulations
5. Schedule E - Trading Authorization: Specific trading authorities granted to the advisor
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