Disclosure Brochure
Advisors Mutual Group, Inc
Investment Advisory Agreement
This investment advisory agreement is between Advisors Mutual Group, Inc or The Firm and (name of client). (The Firm) is registered with State of Florida and (client) wants to retain us to act as your investment advisor in accordance with the terms and conditions of this agreement.
This agreement is intended to outline the responsibilities of the parties with regard to the investment management services to be provided by The Firm.
1. We will give you the benefit of our continuing study of economic conditions, securities markets and other economic issues. On the basis of these studies, we shall provide advice from time to time regarding the allocation of your assets, including the specific allocation of money market funds, stocks & bonds, CDs, municipal and government securities, mutual funds, unit investment trusts, annuities, and other appropriate investments.
2. You will receive statements directly from your broker/dealers, mutual funds and money managers, as appropriate. Advisors Mutual Group, Inc doesn’t prepare regular client reports.
3. If you desire financial planning services, you agree to pay The Firm $_____per hour, payable after the consultations and/or $______ for a written financial plan, payable upon presentation of the plan to you.
4. On occasion, The Firm may select and monitor money managers registered in the State of Florida for you. When we do so you acknowledge that the money managers pay us a portion of the fee you pay them- you do not pay us directly for this service.
5. You acknowledge that the principals of Advisors Mutual Group, Inc are licensed insurance agents. As such, we may receive normal and customary sales commissions and other income.
6. Clients wishing to implement the applicant’s advice are free to select any broker they wish, and are so informed. Those wishing for the applicant to recommend a broker will get a recommendation based on the broker’s costs, skills, reputation, dependability and compatibility with the client. NOTE: Clients may be able to obtain lower commissions and fees from other brokers, and the value of products, research and services given to the applicant is not a factor in determining the selection of broker/dealers or the reasonableness of their commissions.
7. You acknowledge that past performance of investments recommended by The Firm should not be construed as an indication of future results, which will prove to be better or worse than past results. YOUR INVESTMENTS WILL GO UP OR DOWN, DEPENDING ON MARKET CONDITIONS. We make no promises, guarantees or warranties that any of our services will result in a profit to you. You may rely on information furnished by us to be reasonably accurate and reliable.
8. Any controversy or claim arising out of or relating to this agreement, or the breach thereof, shall be settled by arbitration, in accordance with the commercial arbitration rules of the American Arbitration Association, and judgment upon the award rendered by the arbitrator may be entered in any court having jurisdiction thereof.
9. This agreement may be modified upon such terms as may be mutually agreed upon in writing. This agreement is terminable by you at any time, for any reason. Any fees paid in advance are refundable on a prorated basis. Either party may terminate this agreement upon written notice. The agreement is not assignable by The Firm without the advance written consent of the client.
10. If this agreement is established by you, the undersigned, in a fiduciary capacity, you hereby certify that you are legally empowered to enter in or perform this agreement in such a capacity. If this agreement is established by a corporation, the undersigned certifies that the agreement has been duly authorized, executed and delivered on behalf of such corporation and that the agreement is a validly certified copy of a resolution of the Board of Directors of the corporation to that effect and authorizing the appropriate officers of the corporation to act on its behalf in connection with this agreement.
11. This agreement shall be governed by the laws of Florida. This agreement contains all the understanding of the parties as to this agreement.
12. You certify that the social security number (or tax ID number) set forth is correct and that you are not subject to “backup withholding” under section 340(a)(1)(c) of the Internal Revenue Code or any successor provision.
Your legal address is:_____________________________________________
Your social security number (or tax ID number) is________________________
By signing this agreement you acknowledge that you have reviewed Advisors Mutual Group, Inc Disclosure Brochure as required by State of Florida investment advisory regulations.
For The Firm: ____________________________________________ date _______________
Accepted by: ____________________________________________ date _______________
