Financial Planning Agreement Generator
Create comprehensive financial advisory and planning service agreements
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Step 1: Party Information
Financial Advisor/Planner Information
Advisor/Firm Name
*
Entity Type
*
Select Entity Type
Individual Advisor
Corporation
LLC
Partnership
Registered Investment Advisor
Business Address
*
Phone Number
*
Email Address
*
License/Registration Number
Regulatory Body
Select Regulatory Body
SEC
FINRA
State Securities
CFP Board
Other
Professional Credentials
Years of Experience
Client Information
Client Name
*
Client Type
*
Select Client Type
Individual
Joint (Married Couple)
Trust
Business Entity
Retirement Plan
Client Address
*
Phone Number
*
Email Address
*
Date of Birth
Social Security Number
Spouse/Partner Information
Step 2: Services & Scope
Financial Planning Services
Primary Service Type
*
Select Service Type
Comprehensive Financial Planning
Investment Management Only
Retirement Planning
Estate Planning
Tax Planning
Insurance Planning
Project-Based Planning
Specific Services Included
*
Investment Management & Asset Allocation
Retirement Planning & Analysis
Tax Planning & Strategy
Estate Planning Coordination
Insurance Needs Analysis
Cash Flow & Budget Planning
Debt Management Strategy
Education Funding Planning
Client Financial Goals
*
Risk Tolerance Assessment
Select Risk Tolerance
Conservative
Moderate Conservative
Moderate
Moderate Aggressive
Aggressive
Investment Experience Level
Select Experience Level
Limited Experience
Moderate Experience
Extensive Experience
Professional/Institutional
Account Information & Assets
Accounts Under Management
Total Assets Under Management ($)
Minimum Account Balance ($)
Custodian Information
Other Professional Advisors
Reporting & Communication
Reporting Frequency
Select Frequency
Monthly
Quarterly
Semi-Annually
Annually
Upon Request
Communication Preferences
Email
Phone Calls
In-Person Meetings
Video Conferences
Client Portal
Review Meeting Frequency
Select Frequency
Monthly
Quarterly
Semi-Annually
Annually
As Needed
Step 3: Fees & Legal Terms
Fee Structure
Primary Fee Structure
*
Select Fee Structure
Assets Under Management (AUM)
Hourly Rate
Flat Fee
Monthly/Annual Retainer
Project-Based Fee
Commission-Based
Hybrid Fee Structure
Management Fee Rate (%)
Hourly Rate ($)
Fee Schedule & Calculation
Billing Frequency
Select Frequency
Monthly
Quarterly
Semi-Annually
Annually
In Advance
In Arrears
Fee Payment Method
Select Payment Method
Account Deduction
Direct Billing
Check Payment
ACH Transfer
Additional Fees
Fee Adjustments & Discounts
Fiduciary & Regulatory Disclosures
Fiduciary Standard
Select Standard
Fiduciary Standard
Suitability Standard
Best Interest Standard
Varies by Service
Conflicts of Interest
Other Compensation Sources
ADV Part 2 Disclosure
Form ADV Part 2 has been provided to client (if applicable)
Terms & Termination
Agreement Term
Select Term
Ongoing/Indefinite
1 Year
2 Years
3 Years
Until Project Completion
Termination Notice Period
Select Notice Period
Immediate
30 Days
60 Days
90 Days
Termination Terms
Data Retention & Privacy
Legal & Administrative
Effective Date
*
Governing Law (State)
*
Select State
California
New York
Texas
Florida
Illinois
Dispute Resolution
Select Method
Binding Arbitration
Mediation
Court Litigation
FINRA Arbitration
Limitation of Liability
Additional Terms & Conditions
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