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2017-07-19T18:54:23-05:00
LET’S BUILD A PLAN TODAY
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OWLFA 1 Year Plan
Designed to give you what you need. We will walk through your financial life, and help you find the right strategies to get you where you want to be. You will receive: A detailed financial plan, built for you. A consultation, where we'll talk over different strategies and find the ones that fit you. A concrete implementation plan that will guide you. All it takes it a couple of hours.
Terms and Conditions
The undersigned {Name (First):1.3} {Name (Last):1.6} (“Client”), being duly authorized, has established a Relationship referred to above (the “Relationship”), and hereby agrees to engage OWLFA, LLC (“OWLFA”) on the following terms and conditions.
I.
Appointment of OWLFA.
Client hereby appoints OWLFA as investment adviser/financial planner for this Relationship.
II.
Services by OWLFA.
By execution of this Agreement, OWLFA hereby accepts the appointment as investment adviser for the Relationship and agrees from and after the effective date, set forth in the signature page hereto, to create a financial plan for Client, which will outline Client’s risks and tolerance levels. It is understood and agreed that OWLFA, in the maintenance of records for its own purposes, or in making such records or the information contained therein available to Client or any other person at the direction of Client, does not assume responsibility for the accuracy of information furnished by Client or any other person, firm or corporation.
III.
Fees.
The compensation of OWLFA for its services rendered hereunder shall be $400.
IV.
Representations by Client.
The execution and delivery of this Agreement by Client shall constitute the representations by Client that the terms hereof do not violate any obligation by which Client is bound, whether arising by contract, operation of law or otherwise. OWLFA will not be responsible for any liability or expense resulting from a breach of Client’s representations.
V.
Representations by OWLFA.
By execution of this Agreement, OWLFA represents and confirms that it is registered as an investment adviser or exempt from registration pursuant to applicable laws and regulations.
VI.
Amendment;Termination.
This Agreement contains the entire agreement between the parties and may not be modified or amended except in writing as executed by both parties. Client acknowledges the plan is considered complete, and the relationship terminates absent affirmative consent of both parties upon delivery of the final financial plan. Client may terminate the Agreement within five (5) business days of signing, without penalty, and with full refund of the advisor’s fees. This Agreement shall continue in effect until the earlier of (i) OWLFA’s delivery of a financial plan to Client or (ii) termination by either party by giving to the other written notice.
VII.
Notices.
All notices and other communications contemplated by this Agreement shall be deemed duly given if transmitted to OWLFA at the address set forth on the cover page of this Agreement to the attention of its Chief Compliance Officer, and to Client at the address appearing below, or at such other address or addresses as shall be specified, in each case, in a written notice similarly given.
VIII.
Governing Law.
The validity of this Agreement and the rights and liabilities of the parties hereunder shall be determined in accordance with the laws of the state in which Client resides, except to the extent preempted by ERISA or other federal or state laws or regulations.
IX.
Exhibits.
No exhibits are attached, or part of this Agreement.
X.
Receipt.
Client acknowledges receipt of OWLFA’s Privacy Policy Statement, Part 2B of Form ADV, and either: Part 2A of Form ADV; a disclosure statement containing the equivalent information; or a disclosure statement containing at least the information required by Part 2A Appendix 1 of Form ADV, if the client is entering into a wrap fee program sponsored by the investment adviser. If the appropriate disclosures statement was not delivered to Client at least 48 hours prior to Client entering into any written or oral advisory contract with this investment adviser, then Client has the right to terminate the contract without penalty within five business days after entering into the contract. For the purposes of this provision, a contract is considered entered into when all parties to the contract have signed the contract, or, in the case of an oral contract, otherwise signified their acceptance, any other provisions of this contract notwithstanding.
XI.
Consent to Electronic Delivery.
Client hereby consents to receive via e-mail or other electronic delivery method for various communications, documents, and notifications from OWLFA. These items may include but are not limited to: all statements or reports produced by OWLFA; trade confirmations; billing invoices; all Client brochures (Form ADV, Wrap Brochure, etc.); privacy policy statements; and any other notices or documentation that OWLFA chooses to provide on an ongoing or occasional basis. Client agrees to immediately notify OWLFA of any changes to Client’s e-mail address shown below or other electronic delivery address.
XII.
Assignment.
No assignment of this Agreement may be made by any party to this Agreement without the prior written consent of the other party hereto. Subject to the foregoing, this Agreement shall inure to the benefit and be binding upon the parties hereto, and each of their respective successors and permitted assigns.
XIII.
Confidential Relationship.
All information and advice furnished by either party to the other shall be treated as confidential and shall not be disclosed to third parties except as required by law and as described in OWLFA’s Privacy Policy Statement.
XIV.
Market Conditions.
Client acknowledges that OWLFA’s past performance and advice regarding client financial plans cannot guarantee future results.
AS WITH ALL MARKET INVESTMENTS, CLIENT INVESTMENTS CAN APPRECIATE OR DEPRECIATE.
OWLFA does not guarantee or warranty that services offered will result in profit.
IN WITNESS THEREOF, the parties have executed this Agreement on the date stated below.
OWLFA, LLC Lee Mayfield, Chief Compliance Officer
{Name (First):1.3} {Name (Last):1.6}
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