Financial Advisor Client Agreement

The advice is provided by a qualified financial planner: a professional who helps individuals manage their finances by providing advice on money issues such as investment, insurance, savings, estate planning, taxes and retirement, depending on the client`s circumstances. If your advisor is an agent, your agreement may have another section containing an oath of trust. This section emphasizes that you work with an agent and that the advisor is required to act at all times in your best interest when offering financial advice or managing your accounts. Each customer the company deals with is categorized to determine the level of regulatory protection. We offer you to classify yourself as a “retail customers” that offers you the highest level of regulatory protection. Your investments should give you the best chance to achieve your financial goals. Our investment approach is designed to offer highly diversified, tax-efficient and cost-effective portfolio management. Thanks to Evidence Based Investing, we are able to provide carefully researched yet easy-to-understand advice. A. AlphaClone`s services are not exclusive and AlphaClone and its related companies are free to provide services to others, including affiliates. These services may include providing investment management and advisory services to others who may have investment policies, objectives and strategies that match or are similar to the client. AlphaClone is free, at its sole discretion, to make recommendations to related companies or other related entities or to conduct transactions on behalf of itself or for related companies or other entities that are the same or other than those recommended or made on behalf of the account. Nothing in this agreement prevents AlphaClone or its related companies, either as a client or agent on behalf of others, from buying or selling securities of the same nature or class, or from recommending or directing another account to buy or sell at any time securities of the same nature or class purchased or sold on behalf.

It is clear that AlphaClone, its related companies and any related person (as defined below) may have an interest in a particular transaction or securities of the same nature or category as AlphaClone may buy or sell, and that AlphaClone may conduct account transactions with related companies to the extent permitted by law. As is used here, the term “Parent” means AlphaClone, its related companies and their respective executives, partners, directors, shareholders, employees and agents. Yes, we choose to be held at the trust level, which means that we have an obligation to put your interests ahead of everything else. In fact, 95% of other companies do not always put their customers` interests above their own. The goal of a financial plan is to help you better understand where you are now and help you achieve your goals in the future.

Comments are closed