Advisory Client Agreement with Adviser

THIS AGREEMENT between the Client & their chose Adviser, is in effect upon the acceptance and execution of this Agreement by the Client and the Adviser. By signing this Agreement, the Client acknowledges engaging the Adviser to provide advisory services for the Client. The Social 401K (Parent Company: Fellow Travelers Inc) is facilitating this interaction.

  1. APPOINTMENT AS INVESTMENT ADVISER: The Client hereby retains the Adviser and the Adviser hereby agrees to provide the a financial advisory session to the Client in accordance with the terms and conditions set forth below.
  2. SERVICE: Adviser will provide the Client with a financial analysis and recommendations to guide the Client toward the achievement of their objectives. The Client understands that information regarding specific issues not revealed to or analyzed by the Adviser may have a direct impact on the suitability or accuracy of specific recommendations given.
  3. CONFIDENTIAL RELATIONSHIP: Information received by Adviser from Client will be kept confidential by Adviser in a manner consistent with applicable law and with the Adviser’s Privacy Policy, which Client acknowledges receiving, and which will be sent to Client annually, as required by law. All information or advice furnished by Adviser to Client shall be treated as confidential and not be disclosed by Client except as required by law.
  4. FEES: The fee for the service will be paid upfront and the amount will be determined by the client.
  5. ELECTRONIC COMMUNICATIONS ACCEPTABLE: The Client consents to electronic delivery of required disclosure documents and other communications by the Adviser. Such consent will remain effective unless revoked by the Client. The Adviser will transmit information by email in text, PDF, Microsoft Word, or other formats that can be readily viewed, printed, and saved. The Client has provided the Adviser with one or more valid email addresses that the Adviser may use to communicate with the Client. The Client may revoke its consent to receive communications electronically at any time by notifying the Adviser.
  6. NON-WAIVER OF RIGHTS BY CLIENT: Federal and state securities laws impose certain obligations on persons acting in good faith, and as such, nothing in this Agreement shall result in any waiver of any or all of the rights which the Client shall otherwise enjoy under the federal and state securities laws.
  7. RECEIPT OF FORM ADV, PART 2: Client acknowledges receipt (from the Adviser) of Part 2 of Form ADV or a disclosure statement containing the equivalent information. If the appropriate disclosure statement was not delivered to the client at least 48 hours prior to the client entering into any written or oral advisory contract with this investment adviser, then the client has the right to terminate the contract without penalty within five business days after entering into the contract. For the purposes of this provision, a contract is considered entered into when all parties to the contract have signed the contract, any other provisions of this contract notwithstanding.
  8. TERMINATION/ASSIGNMENT: Neither party may assign this agreement without the prior written consent of the other party. Client has the right to terminate the contract without penalty or fees within five (5) business days after entering into the contract. For the purposes of this provision, a contract is considered entered into when all parties to the contract have signed the contract or any other provisions of this contract notwithstanding. This agreement shall be in effect until either party gives written notice to the other party of its intention to terminate the agreement. Upon termination, any unearned fee will be refunded to the client on a prorated basis.
  9. GOVERNING LAW AND VENUE: This Agreement shall be governed by and construed in accordance with the laws of the State in which the Adviser resides, except to the extent that the federal securities laws shall otherwise be controlling. In the event that any dispute shall arise by and between the parties, it is hereby agreed that any litigation, cause, suit, arbitration, mediation or any other proceeding shall take place in the State in which the adviser resides.
  10. MISCELLANEOUS: All paragraph headings in this Agreement are for convenience of reference only, do not form part of this Agreement, and shall not affect in any way the meaning or interpretation of this Agreement. If any provision herein is or should become inconsistent with any present or future law, rule or regulation of any governmental or regulatory body having jurisdiction over the subject matter of this Agreement, such provision shall be deemed to be rescinded or modified in accordance with any such law, rule or regulation. In all other respects, this Agreement shall continue and remain in full force and effect. No term or provision of this Agreement may be waived or modified unless in writing and signed by the party against whom such waiver or modification is sought to be enforced. This Agreement contains the entire understanding between Client and Adviser concerning the subject matter of this Agreement. To the extent that this Agreement is inconsistent with any other agreement governing Client’s Account, the provisions of this Agreement shall govern. Client agrees that this Agreement shall be binding upon Client’s heirs, executors, administrators, and personal representatives. All notifications required to be sent shall be sent: if to Adviser, to the Adviser’s address contained in this Agreement or such other address as may later be designated; if to Client, to Client’s address as provided to Adviser at the time this Agreement is entered into, or such other address as may later be designated.
  11. EFFECTIVE DATE: This Agreement will be effective upon execution by both the Client and Adviser.

By clicking the box on the payment form, I acknowledge that I have received, read, understand, and agree to abide by all the terms and conditions set forth in this Advisory Client Agreement with Adviser.