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.
This workflow is applicable across multiple practice areas and use cases
Securities attorneys advising investment advisers, broker-dealers, and financial institutions need to draft and review SEC-compliant advisory agreements that satisfy Form ADV requirements and Investment Advisers Act obligations.
This workflow directly addresses core securities regulatory compliance requirements for investment advisers, making it highly relevant for securities and capital markets practices handling SEC registration and compliance matters.
Corporate governance attorneys need SEC-compliant investment advisory agreements when structuring fiduciary relationships for corporate investment committees and managing corporate treasury investments.
Companies with significant investment portfolios require properly structured advisory agreements that comply with SEC regulations and establish clear fiduciary duties, making this workflow essential for corporate governance practices.
Corporate finance attorneys structuring investment management arrangements for corporate clients, pension funds, or institutional investors require SEC-compliant advisory agreements that properly document fiduciary relationships and fee structures.
Corporate finance practices frequently involve establishing investment advisory relationships for corporate treasury management, employee benefit plans, and institutional investment programs that require regulatory-compliant documentation.
M&A attorneys conducting due diligence on investment advisory firms or wealth management companies need to review and validate SEC-compliant advisory agreements as part of regulatory compliance assessment.
When acquiring or merging with RIAs or financial advisory firms, proper review of client advisory agreements is critical for assessing regulatory compliance risks and ensuring continuity of client relationships.
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.
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.
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.
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.
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.