Receipt of Disclosure Documents. The Trust and the Adviser acknowledge receipt, at least 48 hours prior to entering into this Agreement, of a copy of Part 2 of the Subadviser’s Form ADV containing certain information concerning the Subadviser and the nature of its business. The Subadviser will, promptly after making any amendment to its Form ADV, furnish a copy of such amendment to the Adviser. On an annual basis and upon request, the Subadviser will provide a copy of its audited financial statements, including balance sheets, for the two most recent fiscal years and, if available, each subsequent fiscal quarter. At the time of providing such information, the Subadviser shall describe any material adverse change in its financial condition since the date of its latest financial statement.
Receipt of Disclosure Documents. Client acknowledges receipt of LPL’s Guided Wealth Portfolios Form Brochure, IAR’s Brochure Supplement and FutureAdvisor’s Brochure as required by Rule 204-3 under the Advisers Act. Client understands the investment approach, related risk factors, and the fees associated with investing in the Account. This Agreement will not take effect until LPL has accepted the Account.
Receipt of Disclosure Documents. Client acknowledges receipt of LPL’s OMP Program Form and IAR’s Brochure Supplement as required by Rule 204-3 under the Advisers Act. This Agreement, the Account Application, and the OMP Program Form Brochure constitute disclosure required to be provided to an ERISA Plan under Rule 408(b)(2) under ERISA. Client understands the investment approach, related risk factors, and the fees associated with investing in the Account. This Agreement will not take effect until LPL has accepted the Account.
Receipt of Disclosure Documents. The Trust and the Adviser acknowledge receipt, at least 48 hours prior to entering into this Agreement, of a copy of Part 2 of the Subadviser’s Form ADV containing certain information concerning the Subadviser and the nature of its business. The Subadviser will, promptly after making any amendment to its Form ADV, furnish a copy of such amendment to the Adviser. For non-wholly-owned Virtus subadvisers, on an annual basis and upon request, the Subadviser will provide a copy of its audited financial statements, including balance sheets, for the two most recent fiscal years and, if available, each subsequent fiscal quarter. At the time of providing such information, the Subadviser shall describe any material adverse change in its financial condition since the date of its latest financial statement.
Receipt of Disclosure Documents. Client acknowledges receipt of LPL’s Model Wealth Portfolios Program Form Brochure and IAR’s Brochure Supplement as required by Rule 204-3 under the Advisers Act. This Agreement, the Account Application and the MWP Program Form Brochure constitute disclosure required to be provided to an ERISA Plan under Rule 408(b)(2) under ERISA. Client understands the investment approach, related risk factors, and the fees associated with investing in the Account. This Agreement will not take effect until LPL has accepted the Account.
Receipt of Disclosure Documents. Client acknowledges receipt of the following ALENA Wealth LLC disclosure documents: Form ADV Part 2A and 2B (Disclosure Brochure); Privacy Policy; Security Program Policies.
Receipt of Disclosure Documents. Client acknowledges receipt of SMA Portfolio Manager’s Form ADV, Part 2, in the case of the SMA Platform, Model Advisor’s Form ADV, Part 2, in the case of the MP Platform, and LPL’s Manager Access Select Program Brochure (“Brochure”). This Agreement, the Account Application, and the Brochure constitute disclosure required to be provided to an ERISA Plan under Rule 408(b)(2) under ERISA. Client understands the investment approach, related risk factors, and the fees associated with investing in an Account.
Receipt of Disclosure Documents. Client acknowledges receipt of LPL’s PWP Program Brochure and IAR’s Brochure Supplement as required by Rule 204-3 under the Advisers Act. This Agreement, the Account Application and the PWP Program Form Brochure constitute disclosure required to be provided to an ERISA Plan under Rule 408(b)(2) under ERISA. Client understands the investment approach, related risk factors, and the fees associated with investing in the Account. This Agreement will not take effect until LPL has accepted the Account.
Receipt of Disclosure Documents. Principal Shareholder has received and carefully reviewed, and understands the information contained in, the documents identified below (collectively, the "Disclosure Documents") including the risk factors contained therein. In evaluating the suitability of the Reorganization and the resulting acquisition of the Reorganization Consideration and all other shares of RMI Common Stock and rights, whether contingent or fixed, to receive shares of RMI Common Stock (collectively the "Securities"), Principal Shareholder has not relied upon any representations or other information (whether oral or written) from RMI, its officers, directors, or employees or from any other person affiliated with or acting on behalf of RMI other than as set forth in the Disclosure Documents. The Disclosure Documents include, but are not limited to, the following:(i) RMI's Annual Report on Form 10-KSB for the year ended December 31, 1997, (ii) RMI's Proxy Statement for its annual meeting held on Xxxxx 00, 0000, (xxx) RMI's Quarterly Reports on Form 10-Q for the quarters ended March 31, 1998, June 30, 1998 and September 30, 1998, and Amendment to the Quarterly Report on Form 10-QSB/A-1 for the quarter ended March 31, 1998, (iv) RMI's Prospectus dated November 19, 1998 (the "Prospectus"), (v) RMI's Current Reports on Form 8-K, dated June 5, 1998 (disclosing the acquisition of Infohiway, Inc., and the signing of an agreement and plan of merger with Internet Communications Corporation ("ICC")) and dated June 30, 1998 (disclosing the acquisition of Application Methods, Inc.), and Amendments No. 1 and No. 2 to the Current Report on Form 8-K/A dated June 5, 1998; and (vi) the press releases issued by ICC and RMI on or about October 14, 1998 with respect to claims asserted by ICC.
Receipt of Disclosure Documents. Client acknowledges receipt of the PWP Program Brochure and Advisor’s Form ADV Part 2 (“Disclosure Documents”) as required by Rule 204-3 under the Advisers Act. Client understands the investment approach, related risk factors, and the fees associated with investing in an Account.
