The Promoters package will assist you to stay compliant with the new Marketing Rule when referral fees are paid. The Promoters Agreement governs the terms of the relationship between the managing RIA and the party receiving the fees. The Promoter Disclosure Statement is the client disclosure document and the form to be signed by the client.

The Promoters Agreement package includes:

  • Solicitors Agreement
  • Promoters Questionnaire
  • Promoters Disclosure Statement and Client Acknowledgment
  • ADV disclosure sample language
  • Policies and Procedures sample language

Forms are delivered electronically in WORD for your easy customization.

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