Section or Paragraph Headings. Section headings herein have been inserted for reference only and shall not be deemed to limit or otherwise affect, in any matter, or be deemed to interpret in whole or in part any of the terms or provisions of this Agreement.
Section or Paragraph Headings. Section and paragraph headings are for convenience only and shall not be construed as part of this Agreement.
Section or Paragraph Headings. Section and paragraph headings used herein are for convenience only and shall not be construed as part of this Amendment.
Section or Paragraph Headings. Section headings herein have been inserted for reference only and shall not be deemed to limit or otherwise affect, in any matter, or be deemed to interpret in whole or in part any of the terms or provisions of this Agreement. 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. Client name(s): Client signature(s): Date: Elm Partners Management LLC: Date: EXHIBIT A: FACTORS AFFECTING OUR RECOMMENDATION OF FIDELITY OR SCHWAB AS CUSTODIAN AND BROKER-DEALER AND POTENTIAL CONFLICTS OF INTEREST We seek to recommend a custodian and broker-dealer who will hold your assets and execute transactions on terms that are overall most advantageous by considering a wide range of factors including: • combination of transaction execution services along with asset custody services (generally without a separate fee for custody) • capability to execute, clear and settle trades • provide pricing and other market data • facilitate payment of our fees from our clients’ accounts, and • assist with back-office functions, record-keeping and client reporting. Additionally, Fidelity and Schwab provide their own, as well as third party, investment research. • capabilities to facilitate transfers and payments to and from accounts • breadth of investment products made available • availability of investment research and tools that assist us in making investment decisions • quality of services • competitiveness of the price of those services (commission rates, margin interest rates, other fees, etc.) and willingness to negotiate them • reputation, financial strength and stability • prior service to us and our other clients • availability of other products and services (see below) Products and Services Available to Us from Fidelity and Schwab. Fidelity and Schwab have divisions which serve independent investment advisory firms like us. They provide us and our clients with access to its institutional brokerage – trading, custody, reporting and related services – which is not typically available to retail customers. They also make available various support services. Some of those services help us manage or administer our clients’ Accounts while others help us manage and grow our business. Services that Benefit You. Fidelity and Xxxxxx’x institutional brokerage services include access to a broad range of investment products, execution of securities transacti...
Section or Paragraph Headings. Section headings herein have been inserted for reference only and shall not be deemed to limit or otherwise affect, in any matter, or be deemed to interpret in whole or in part any of the terms or provisions of this Agreement. 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. Requestor: Lehighton Area School District By: Signature Date Title: Pennsylvania Trust By: 12/22/2020 Signature Date Title: Chairperson EXHIBITS: A, B, C GASB 75 Valuation Services The GASB 75 Valuation Service will be performed by the actuaries and employees of Xxxxxx Xxxxxx under our contract with them. The services will include the following: Preliminary discussion with you Collection of relevant census and benefit plan information Preparation of GASB 75 Actuarial Valuation Discussion with you regarding results of the valuation, if necessary Fee for GASB 75 Valuation Service per valuation is based on group size and the level of complexity. Level of Complexity Size Simple Average Complex Small Group $3,550 $5,100 $6,150 Medium Group $4,625 $6,175 $7,225 Large Group $5,700 $7,250 $8,300 Group size is defined as follows: Small Group: < 200 participants Medium Group: 201 to 500 participants Large Group: > 500 participants Complexity is determined based on number of plan and benefit designs and number of subgroups requested. Xxxxxx Xxxxxx will determine the level of complexity. To the extent the complexity is determined to be between two levels, the midpoint of the two values shown will be used for the fee. Optional Services Valuation calculations under alternative parameters $500 - $1,000 per run Preparation of supplemental year-end calculations prepared in between valuations if it is deemed that updated assumptions (e.g. discount rate) should be used, or for other reasons requested by the school entity. $550 per calculation Services Available at Additional Cost Time and Expense If a service that is not previously described in this agreement is requested or needed, this additional service will be made available and will be performed by the actuaries and employees of Xxxxxx Xxxxxx under our contract with them. We will xxxx you based on the time spent on the project and the current hourly rates for the staff involved in the project. You may request a cost estimate before commencing the project. You may also request a statement of the cur...
Section or Paragraph Headings. Section headings herein have been inserted for reference only and shall not be deemed to limit or otherwise affect, in any matter, or be deemed to interpret in whole or in part any of the terms or provisions of this Agreement. 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.
Section or Paragraph Headings. Section headings herein have been inserted for reference only and shall not be deemed to limit or otherwise affect, in any matter, or be deemed to interpret in whole or in part any of the terms or provisions of this Agreement. Acknowledgements and Execution Receipt of Disclosure Statement The undersigned hereby acknowledges receipt of Aventura Capital Management LLC Form ADV Part 2A and 2B dated March 26, 2019 prior to engaging ACM for any services. Arbitration This agreement contains a Pre-Dispute Arbitration Clause in section 15. Client acknowledges receiving a copy of this agreement and accepts the terms and conditions of this contract 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. Client Joint Account Holder (if applicable) Date Date Client - Print Full Name Joint Account Holder – Print Full Name If an entity (corporation, trust, partnership, etc.) Print Full Legal Name of Entity By: Date Print Name and Title Agreed to and accepted by: Aventura Capital Management, LLC By: Date Exhibit A Schedule of Assets and Accounts Assets and Accounts Directly Managed By Aventura Capital Management, LLC Name on Account Broker Dealer Account Number Aventura Securities, LLC Assets and Accounts Managed Through independent investment managers Name on Account Custodian Account Number Assets and Accounts Directly Through investment management programs Name on Account Custodian Account Number Exhibit B Schedule of Fees We shall provide the services described in the Agreement to which this Exhibit B (and each of the agreements entered into with the Independent Managers) for an annual Management Fee based upon the following fee schedule: PORTFOLIO VALUE ANNUAL FEE $0-$999,999 1.50% $1,000,000-$2,499,999 1.25% $2,500,000-$4,999,999 1.00% $5,000,000-$9,999,999 0.80% $10,000,000 and Above 0.75% Client Initials Date The management fee for assets and accounts directly managed by Aventura Capital Management, LLC is billed on a quarterly basis, in advance, based upon the average value of the last business day in each of the previous quarter’s three months. The initial billing will include fees for the initial partial quarter, calculated in arrears, on a prorated basis from the day the first deposit was added to the account. Further, deposits withdraw...
Section or Paragraph Headings. Section headings herein have been inserted for reference only and shall not be deemed to limit or otherwise affect, in any matter, or be deemed to interpret in whole or in part any of the terms or provisions of this Agreement. 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 WHICH MAY BE ENFORCED BY THE PARTIES. The undersigned hereby agree to the terms of this one-time package as stated above, understanding there is no formal retainer, nor automatic renewal each calendar year. Clear Money Path Client(s) X X By: Xxxx X Xxxxxx Client X Client EXHIBIT A Description of Services We shall provide the following services to you (as marked below) in accordance to the Financial Planning Agreement to which this Exhibit A is attached: Financial Position □ Net Worth 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 & Estate Planning □ Strategic Giving Plan and Advice □ Estate Planning Strategy and Advice Other □ Survivor Binder □ EXHIBIT B Schedule of Fees Our fee for services under the Financial Consulting Agreement to which this Exhibit B is attached is: Hourly Fee: Client shall pay an hourly rate equal to $250. OR Fixed Fee: Included in Service Packages selected below. Planning Services Packages (includes selected items in Exhibit A above) * Your planning needs are unique, and we help you stay on top of your financial life with the ideal number of planning sessions to match the flow of your life. We offer 3 Packages, with each level corresponding to the number of meetings needed to complete the services. □ Level 1 (“Projection” Analyses): $ 500 fee □ Level 2 (Level 1 + “Protection” Analyses): $ 1,000 fee □ Level 3 (Level 2 + “Succession” Analyses): $ 1,500 fee □ Level 1 (one meeting): (Typically for clients with a Net Worth over $500,000). Includes 1, 90-minute planning meeting for building and providing or...
Section or Paragraph Headings. Section headings herein have been inserted for reference only and shall not be deemed to limit or otherwise affect, in any matter, or be deemed to interpret in whole or in part any of the terms or provisions of this Agreement. 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. Client Signature Date Client Signature Date New Dimensions Wealth Management, L.L.C. R. Xxxxx Xxxxxx, President Date Exhibit A Investment Supervisory Services ASSET BASED FEES FOR COMPREHENSIVE INVESTMENT SUPERVISORY SERVICES We shall provide the services described in the Discretionary Asset Management Agreement (attached) for an annual fee based upon the following asset schedule: Household Assets Annual Fee Initial $500,000 0.80% Next $500,000 0.60% Next $500,000 0.40% All assets over $ 1,500,000 0.30 % As discussed in the Agreement, the asset based fee is billed on a quarterly basis in, advance, based upon the market value of the Household Assets, including cash, on the last day of the previous quarter as valued by the Custodian. Please Note:
Section or Paragraph Headings. Section headings herein have been inserted for reference only and shall not be deemed to limit or otherwise affect, in any matter, or be deemed to interpret in whole or in part any of the terms or provisions of this Agreement. 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 WHICH MAY BE ENFORCED BY THE PARTIES. For ERISA Plans, Authorized Fiduciary or Trustee of the Plan , Client , Client BELFORTI INVESTMENT , LLC By: Xxx Xxxxxxxx, Sole Member Schedule of Fees Exhibit B We shall provide the services described in the Agreement to which this Exhibit B is attached for an annual fee of 3% (quarterly fee of 0.75%). As discussed in the Agreement, our fees are billed on a quarterly basis in arrears based upon the market value of the Assets on the last day of the previous quarter.
