Contact
← All workflows

Investment Advisory Agreement

Draft SEC-Compliant Advisory Agreements in Minutes

12 minutes with CaseMark

Fast lane

We have it from here.

Choose the fast one-off run here, or jump into the workspace when you want saved history, revisions, and a fuller matter workflow.

Run this once here

Best for a quick one-off job. Add your email, upload the files, and we'll run the workflow and send the result to your inbox.

1. Add your email so we know where to send the result.

2. Upload the files you want analyzed.

3. Run the workflow and we'll take it from there.

Use in Workspace

Best for ongoing matters

Save and reopen matters, keep documents together, refine the output, rerun with changes, and export or share polished work product when you're done.

Open in Workspace

Need more context?

Scroll for the workflow details below if you want to review what this run handles, what documents help, and what the output looks like.

If this is part of a live matter, the workspace is the better fit: you can keep your documents together, revisit the result, and keep working without starting from scratch.

Jump to detailsOpen in Workspace

Start here

Run this workflow now

Best for a fast one-off run. Add your email, upload the files, and we'll deliver the result without sending you into the full app.

Workflow

Investment Advisory Agreement

Step 1 · Deliver to

Step 3 · Run this workflow

Workflow

Investment Advisory Agreement

Overview

Creating investment advisory agreements manually requires hours of careful drafting to ensure SEC compliance, proper disclosures, and alignment with Form ADV. Financial advisors and compliance teams struggle to balance regulatory requirements with client-specific customization, often delaying client onboarding. Each agreement demands meticulous attention to fee structures, risk acknowledgements, and custody arrangements while maintaining consistency across your client base.

Investment advisers spend hours drafting client agreements while navigating complex SEC regulations, Form ADV requirements, and fiduciary disclosure obligations. Manual drafting risks compliance gaps, inconsistent terms, and delayed client onboarding that can cost firms both time and regulatory exposure.

CaseMark automates Investment Advisory Agreement creation by extracting data from your Form ADV, fee schedules, and client information to generate fully compliant contracts. Our AI ensures every required disclosure, risk acknowledgement, and regulatory provision is included while maintaining your firm's specific service terms and fee structures.

How it works

  1. 1. Upload your documents

  2. 2. AI analyzes and extracts key information

  3. 3. Review and customize the generated content

  4. 4. Export in your preferred format (DOCX, PDF)

What you get

  • Services and Fees

  • Advisory Services Description

  • Fee Structure and Billing

  • Brokerage and Custody Arrangements

  • Client Acknowledgements

  • Investment Risk Disclosures

  • Form ADV Receipt Confirmation

  • General Provisions

  • Proxy Voting Responsibilities

  • Signature Blocks

What it handles

  • Services and Fees

  • Advisory Services Description

  • Fee Structure and Billing

  • Brokerage and Custody Arrangements

  • Client Acknowledgements

  • Investment Risk Disclosures

  • Form ADV Receipt Confirmation

  • General Provisions

  • Proxy Voting Responsibilities

  • Signature Blocks

Required documents

  • Form ADV Part 2A (Firm Brochure)

    Current SEC disclosure brochure containing firm information, services, fees, and conflicts of interest

    PDF, DOCX

  • Fee Schedule

    Detailed advisory fee structure including tiered rates, billing methodology, and minimum fees

    PDF, DOCX, XLSX

Supporting documents

  • Client Information Form

    Client details including investment objectives, risk tolerance, and account type

    PDF, DOCX

  • Previous Advisory Agreements

    Existing client agreements or firm templates for reference and consistency

    PDF, DOCX

  • Firm Policies and Procedures

    Internal compliance policies, proxy voting procedures, and service protocols

    PDF, DOCX

  • Form ADV Part 2B (Brochure Supplement)

    Individual adviser disclosure documents for supervised persons

    PDF, DOCX

Why teams use it

Generate SEC-compliant advisory agreements in 8 minutes vs. 3.5 hours manually

Ensure consistent Form ADV Part 2 disclosures and regulatory language across all clients

Automatically include required risk acknowledgements, fee structures, and custody provisions

Reduce compliance review time with pre-validated regulatory language and disclosures

Accelerate client onboarding with instant agreement generation and customization

Questions

Does this generate agreements compliant with the Investment Advisers Act of 1940?

Yes, CaseMark's Investment Advisory Agreement template is designed to comply with the Investment Advisers Act of 1940, SEC Rule 206(4)-3, and Form ADV disclosure requirements. The system automatically includes required regulatory provisions, fiduciary duty acknowledgements, and mandatory disclosures. However, you should have your compliance team review the final agreement to ensure it meets your specific state registration requirements and firm policies.

Can I customize the fee structure and service descriptions?

Absolutely. CaseMark extracts your fee schedule from uploaded documents and allows you to specify tiered rates, billing frequency, and calculation methodology. You can define discretionary versus non-discretionary services, include financial planning offerings, and customize the scope of engagement while maintaining compliant disclosure language throughout the agreement.

How does the system handle Form ADV receipt acknowledgements?

The generated agreement includes compliant Form ADV receipt language that satisfies SEC Rule 204-3 requirements. It confirms the client received Part 2A and 2B disclosures, acknowledges the 48-hour advance delivery rule or five-day termination right, and documents the client's opportunity to review all material information before signing.

What happens if I need to update agreements for regulatory changes?

CaseMark's templates are regularly updated to reflect current SEC regulations and compliance requirements. When you upload your updated Form ADV or revised fee schedules, the system incorporates these changes into new agreements. You can also use the platform to generate amendment documents for existing client relationships when material terms change.

Does this include proxy voting and custody provisions?

Yes, the agreement includes comprehensive sections on proxy voting authority, custody arrangements under SEC Rule 206(4)-2, and brokerage execution protocols. You can specify whether your firm accepts proxy voting responsibility or delegates it to clients, identify qualified custodians, and disclose any soft dollar arrangements or revenue-sharing agreements as required by fiduciary standards.

Related

510k Premarket Notification

Draft FDA 510(k) Submissions in Minutes, Not Hours

Adverse Event Reporting Policy

Draft FDA-Compliant Adverse Event Policies in Minutes

Anti-Money Laundering (AML) Compliance Program

Draft AML Compliance Programs in Minutes, Not Days