Investment Advisory Agreement

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. They (“Client”) and BrightPlan, LLC (“BrightPlan”), a Delaware limited liability company, and an investment advisor, registered with the Securities and Exchange Commission under the Investment Act 1940, agree to establish a financial advisory relationship, subject to the terms of this investment advisory agreement (“agreement”), which allows brightPlan to provide the services described here. This agreement will enter into force immediately after BrightPlan`s adoption. In light of the resulting mutual agreements, the customer and BrightPlan agree that BrightPlan`s obligation to provide the services listed above is conditional on the provision of the information requested by BrightPlan about the customer. The client also assumes that BrightPlan does not directly manage, control or direct the client`s investments, including the purchase and sale of client securities, and does not offer current portfolio management services. When making investment recommendations for the client, BrightPlan only takes into account funds and securities held through accounts receivable. The client agrees that BrightPlan can refer the client to a traditional affiliate consultant if BrightPlan believes that the client would benefit from consultation with such an advisor or would be better served by having a more personalized investment plan with traditional financial advice. This section is usually at the forefront of an investment advisory agreement. It basically says that you and the financial advisor enter into an agreement in which you have concluded your 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.