The Financial Advisor Engagement Letter serves as the foundational document for establishing and maintaining a professional financial advisory relationship in compliance with U.S. regulations. This document is essential when initiating services with new clients and must adhere to SEC requirements, state securities laws, and relevant regulatory frameworks. The engagement letter typically includes comprehensive details about services offered, fee structures, fiduciary duties, risk disclosures, and privacy policies. It protects both the advisor and client by clearly defining expectations and responsibilities while ensuring compliance with applicable laws and regulations.
Financial Advisor Engagement Letter for the United States
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Key Requirements PROMPT example:
Financial Advisor Engagement Letter
"Need a Financial Advisor Engagement Letter for a high-net-worth individual client who requires comprehensive wealth management services, including estate planning and tax optimization, with a minimum portfolio value of $5 million and quarterly performance reviews."
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1. Introduction and Parties: Identification of the financial advisor and client, including contact details and registration information
2. Scope of Services: Detailed description of financial advisory services to be provided, including any specific exclusions
3. Fiduciary Status: Statement of fiduciary obligations and standards of care
4. Fees and Compensation: Detailed fee structure, payment terms, and any additional costs
5. Regulatory Disclosures: Required disclosures under SEC, state, and other applicable regulations
6. Confidentiality: Privacy and confidentiality commitments
7. Term and Termination: Duration of engagement and termination provisions
8. Acknowledgment: Client acknowledgment and signature block
1. Investment Authority: Details of discretionary/non-discretionary authority, used when advisor has trading authority
2. Tax and Legal Disclaimers: Used when advisor doesn't provide tax or legal advice
3. ERISA Provisions: Required when dealing with retirement accounts or ERISA plans
4. Proxy Voting: Include when advisor handles proxy voting responsibilities
1. Form ADV Part 2A: Advisor's disclosure brochure
2. Fee Schedule: Detailed breakdown of all fees and charges
3. Privacy Policy: Detailed privacy policy and information sharing practices
4. Investment Policy Statement: Optional document outlining investment strategy and guidelines
5. Account Transfer Forms: If applicable for transferring accounts or assets
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