Each investment advisory agreement is structured differently. But in general, here`s what you can expect if you check the availability by your financial advisor. An investment advisory agreement can be helpful so you fully understand what your financial advisor will do for you. But don`t ignore it and sign without reading it first. This may take time, but it can help you avoid headaches on the line. And if there`s something in the agreement that you don`t understand, don`t hesitate to ask your advisor for a detailed explanation. Depending on the description of advisory services, compensation and fees may be the second most important part of your investment advisory contract. Here you can see how your advisor is compensated and how much you will pay for their services. Arbitration: The parties waive their right to seek recourse to the courts, including the right to a jury trial. The parties agree that all disputes between or between either of the parties that are conducted with respect to or in connection with this agreement or account, including the determination of the scope and applicability of the mediation agreement, will be resolved exclusively through a binding arbitration procedure conducted under the aegis of JAMS, in accordance with its detailed arbitration rules and procedures.

Arbitration takes place at the time of the dispute in the county and in the state of BrightPlan`s main office. Disputes will not be resolved in any other forum or venue. The arbitration process is conducted by a retired judge, who has experience in resolving securities disputes. The parties agree that the arbitrator will apply the material law of the State of Delaware to all claims under state law, that the limited discovery will be made in accordance with JAMS` full arbitration rules and procedures, and that the arbitrator will not be able to award exemplary penalties or damages unless (but only to the extent) that such damage is required by law to constitute an available remedy for any of the specific claims. In accordance with JAMS` detailed arbitration rules and procedures, the arbitrator`s arbitration award consists of a written declaration of the decision of any claim and discharge granted to each claim. The arbitral award must not contain or accompany factual findings, legal conclusions or other written explanations of the reasons for the award. The parties understand that the right to appeal or apply to amend an arbitration decision or decision by the arbitrator is severely limited by state and state legislation. Any arbitral award from the arbitrator is final and binding, and the judgment can be registered with any competent county and state court of BrightPlan`s main office at the time of arbitration or another legal prefix. The parties retain the confidentiality of the arbitration process and award, even if they attempt to confirm or expedite the sentence in court, unless it is prescribed by law or by the courts.

An investment advisory agreement defines the conditions under which you order the services of a financial advisor. This agreement is supposed to be some kind of plan for you as a client because it clarifies both what the financial advisor will do for you, such as general advice or recommendation of specific investment movements for your portfolio, as well as your responsibility. The client understands that the performance of a new warranty acquired as a result of the Tax Loss Harvest Program may be better or worse than the guarantee sold for the collection of tax losses. The client understands that he should consult his own professional tax advisors on the consequences of the loss of tax in light of the client`s own circumstances and the impact on the client`s tax returns. The client is responsible for tracking the client`s and spouse`s other accounts to ensure that securities transactions on these accounts do not create “washing sales” when coupled with the tax loss Harvest Program.