Referral Fees. If the CLIENT was introduced to the ADVISER through a Solicitor, the ADVISER may pay that Solicitor a referral fee in accordance with Rule 206(4)-3 of the Investment Advisers Act of 1940. The referral fee shall be paid solely from Adviser Compensation as defined in this Agreement, and shall not result in any additional charge to the CLIENT. The CLIENT acknowledges receipt of the written disclosure statement disclosing the terms of the solicitation arrangement between the ADVISER and the Solicitor, including the compensation to be received by the Solicitor from the ADVISER.
Referral Fees. If you were introduced to us through a solicitor, we may pay that solicitor a referral fee in accordance with Rule 206(4)-3 of the Investment Advisers Act of 1940, as amended, and applicable state securities laws. The referral fee shall be paid solely from Adviser Compensation as discussed above, and shall not result in any additional charge to you. If you were introduced to us through a solicitor, you acknowledge receipt of the written Solicitor Disclosure Statement disclosing the terms of the solicitation arrangement between us and the solicitor, including the compensation to be received by the solicitor from us. By each party executing this Agreement they acknowledge and accept their respective rights, duties, and responsibilities hereunder. This Agreement is only effective upon our execution below. THIS CONTRACT CONTAINS A BINDING ARBITRATION PROVISION THAT MAY BE ENFORCED BY THE PARTIES. Xxxxxxxxx Financial Advisors, LLC , Client , Client By: Xxxxx X. Xxxxxxxxx SERVICES We shall provide the following Services to you (as marked below) in accordance to the Financial Consulting Agreement to which this Exhibit A-1 is attached: Prepare a review of your overall financial situation and issue a written report of recommendations covering cash flow, tax planning, investment planning, estate planning, and risk management. Provide a written Asset Allocation Report and recommendations. Provide a written Estate Planning Summary and recommendations. Provide a written Retirement Planning Report and recommendations. Prepare a written update of your existing financial plan. Provide a written analysis of your current investment portfolio and recommendations. Other (Describe) Other (Describe) Other (Describe) FEES Our hourly fee for our initial engagement, as described above, shall be $150. We estimate our fees for this initial engagement shall be $________. One-half of this estimated fee ($________) shall be due and payable with the signing of this Agreement and the balance shall be due and payable upon completion of the Services set forth in this Exhibit A-1. ADDITIONAL SERVICES In the event you request that we perform additional services, such services shall be identified on a revised “Scope of Services.” Upon our acceptance, the Amended Scope of Services shall be incorporated into, and become part of, this Agreement. Amended Scope of Services This “Amended Scope of Services” is made on this _____ day of _____________________, 20___ between the undersigned parties and...
Referral Fees. Itaú Parent and Corp Group Parent hereby acknowledge and agree that certain Chilean clients of CorpBanca may be interested in contracting financial services and products from financial entities located outside of Chile. Itaú Parent and CorpBanca shall discuss in good faith and on an arm’s-length basis the fees to be paid by Itaú Parent and its relevant Subsidiaries to CorpBanca or one or more of its Subsidiaries in consideration for or in connection with referrals of CorpBanca’s clients. Any such fees shall be paid in the most economically efficient manner to both parties in the relevant transaction. No fees shall be due by Itaú Parent or its Affiliates in connection with services and products that are requested by CorpBanca’s clients directly from Itaú Parent or any of its Affiliates other than CorpBanca and its Subsidiaries. Itaú Parent and CorpBanca and their respective Affiliates shall always comply with all applicable laws and regulations in the offer of such services and products to CorpBanca’s clients, the performance of their obligations and the exercise of their rights under this Section 4.22.
Referral Fees. If the Client was introduced to Xxxxxx Advisors through a Solicitor, Xxxxxx Advisors may pay that Solicitor a referral fee in accordance with Rule 206(4)-3 of the Investment Advisors Act of 1940. The referral fee shall be paid solely from Xxxxxx Advisors Compensation as defined in this Agreement, and shall not result in any additional charge to the Client.
Referral Fees. If Client was introduced to Advisor through a Solicitor or Promoter, Advisor may pay that Solicitor or Promoter a referral fee in accordance with Rule 206(4)-3 of the Investment Advisers Act of 1940. The referral fee shall be paid solely from Advisor’s compensation as defined in this Agreement, and shall not result in any additional charge to Client. Client acknowledges receipt of the written disclosure statement disclosing the terms of the solicitation arrangement between Advisor and the Solicitor, including the compensation to be received by the Solicitor from Advisor.
Referral Fees. From time to time, Liberty may offer referral fees to persons who refer new franchisees to Liberty. Such referral fees do not apply to Area Developer as to Candidates who become Franchisees in Area Developer’s Territory.
Referral Fees. Any referral fees payable in connection with any Compensable Transactions shall be the exclusive responsibility of, and shall be paid by Knightsbridge.
Referral Fees. Company will be entitled to receive referral fees during the ------------- term of this Agreement as set forth on Exhibit A, which is attached hereto --------- and incorporated herein by this reference, except as otherwise provided herein. If Company terminates the term of this Agreement, Company shall not be entitled to receive such referral fees after the term of this Agreement. Payments of such referral fees will be made not later than the twenty (20) day of each month for the previous month's fees.
Referral Fees. If you were introduced to us through a solicitor, we may pay that solicitor a referral fee in accordance with applicable securities laws. The referral fee shall be paid solely from the Management Fee as discussed above, and shall not result in any additional charge to you. If you were introduced to us through a solicitor, you acknowledge receipt of the written Solicitor Disclosure Statement disclosing the terms of the solicitation arrangement between us and the solicitor, including the compensation to be received by the solicitor from us.
Referral Fees. If you were introduced to us through a solicitor, we may pay that solicitor a referral fee in accordance with Rule 206(4)-3 of the Advisers Act and applicable state securities laws. The referral fee shall be paid solely from the Advisory Fee as discussed above, and shall not result in any additional charge to you. If you were introduced to us through a solicitor, you acknowledge receipt of the written Solicitor Disclosure Statement disclosing the terms of the solicitation arrangement between us and the solicitor, including the compensation to be received by the solicitor from us. THIS CONTRACT CONTAINS A BINDING ARBITRATION PROVISION WHICH MAY BE ENFORCED BY THE PARTIES. Level Paths, LLC X X By: <<Authorized Signatory>> Client X Client SCHEDULE OF ACCOUNTS Account Number or Title of Account Custodian Trading Authority Discretionary Non-Discretionary Discretionary Non-Discretionary Discretionary Non-Discretionary EXHIBIT A Description of Services (Initial Planning Service) We shall provide the following services to you (as marked below) in accordance to the Financial Consulting Agreement to which this Exhibit A is attached: Financial Position □ Net Worth Statement □ Cash Flow Statement □ Debt Management Insurance/Survivor Protection Review □ Life Insurance □ Disability Insurance □ Long Term Care Tax Planning □ Strategy and Advice in concert with your tax professional Retirement Planning □ Retirement Income Projection □ Retirement Strategy and Advice □ Business Succession Planning □ Executive Deferred Compensation Plans / Pension Payout Elections Education Goal Planning □ Strategy and Advice Investment Planning □ Asset Allocation / Portfolio review □ Investment Policy Statement Distribution Planning □ Strategic Giving Plan and Advice □ Estate Planning Strategy and Advice Other □ Survivor Binder □ Description of Services (Retainer Planning Service)
