Establishing secure connection…Loading editor…Preparing document…

Financial Investment Management Template

This template is fully customizable. Edit the text, fill out the fields, and send it for signature. Give it a try!

FINANCIAL INVESTMENT MANAGEMENT AGREEMENT

Parties and Engagement

This Investment Management Agreement ("Agreement") is entered into between:

Effective Date:

Appointment and Scope

The Client hereby appoints the Investment Manager to provide discretionary investment management services for the account identified below (the "Account") in accordance with the terms of this Agreement. The Investment Manager accepts such appointment and agrees to render investment management services as described herein.

Investment Objectives and Restrictions

The Manager will manage the Account consistent with the investment objectives, restrictions, and guidelines set forth below. The Client acknowledges that no results are guaranteed and that all investing involves risk of loss.

Discretionary Authority: The Client grants the Manager discretionary authority to buy, sell, exchange, convert, tender, and otherwise trade in securities and other investments on behalf of the Account in accordance with the stated objectives and constraints.

Fees and Expenses

The Client agrees to pay the Manager the fees and reimbursements set forth below. Fees are calculated in accordance with the stated formula and are due as provided. All fees are exclusive of brokerage commissions, custodial charges, taxes and other expenses incurred in the management of the Account.

Performance Fee (if applicable):

Initial Deposit: $   Ongoing Contributions: $

Payment Methods Accepted:

Late Payment Policy: The Manager may assess a late fee or suspend services if fees are not paid within days of invoice.

Reporting and Records

The Manager will furnish account statements and performance reports at the interval selected below and in accordance with regulatory requirements. Reports will reflect transactions, positions, fees charged, and performance.

Custody and Brokerage

The Account assets will be held by the Custodian specified above. The Manager is authorized to direct brokerage and to negotiate the terms and arrangements necessary to carry out its duties, provided that the Manager shall seek best execution consistent with its obligations under this Agreement.

Representations, Warranties and Acknowledgements

The Client represents and warrants that the Client has full power and authority to enter into this Agreement and to grant the authorities provided herein; that all information provided to the Manager is accurate and complete; and that the Account contains assets free of any lien or encumbrance except as disclosed in writing to the Manager.

The Client acknowledges receipt of the Manager's written disclosure of conflicts of interest and consents to the Manager's procedures for conflict management, including related-party transactions disclosed in writing prior to execution.

Term, Termination and Effect of Termination

This Agreement shall continue in effect until terminated by either party upon written notice to the other. Unless otherwise provided, termination shall be effective days following receipt of such notice. Termination shall not affect obligations incurred prior to the effective date of termination, including fees and indemnities.

Indemnification and Limitation of Liability

The Client agrees to indemnify and hold harmless the Manager and its affiliates, agents and employees from and against any and all claims, liabilities, losses or expenses incurred in connection with the services provided hereunder, except to the extent resulting from the Manager's willful misconduct, gross negligence, or material breach of this Agreement. The Manager's liability for any act or omission shall be limited to direct damages, and in no event shall the Manager be liable for consequential, punitive or special damages.

Confidentiality

Each party shall treat as confidential all non-public information received from the other under this Agreement and shall not disclose such information except (i) as required by law or regulation, (ii) to service providers performing services in connection with the Account, or (iii) with the prior written consent of the other party.

Governing Law and Dispute Resolution

This Agreement shall be governed by and construed in accordance with the laws of the jurisdiction identified below. Any dispute arising under this Agreement shall be submitted to binding arbitration as provided by agreement of the parties unless otherwise agreed in writing.

Notices

Notices under this Agreement shall be sent to the addresses set forth below or to such other address as either party designates by notice in writing to the other.

Miscellaneous

This Agreement constitutes the entire agreement between the parties with respect to the subject matter hereof. Any amendment or modification must be in writing and signed by both parties. If any provision of this Agreement is held invalid, the remaining provisions shall remain in full force and effect.

Certifications and Authority

The undersigned represent and warrant that they have full authority to execute this Agreement on behalf of the party for which they sign and that such execution will bind that party to the terms of this Agreement.

Investment Manager:

By:

Date:

Client:

By:

Date:

Enter text

What the Financial Investment Management Template Is

The Financial Investment Management Template is a standardized contract used to record terms between an investment manager and a client, covering scope of services, fees, custody instructions, reporting obligations, and termination rights. It organizes responsibilities, disclosure schedules, and signatures so parties have a single enforceable record that supports compliance, auditability, and record retention requirements for financial relationships.

Why a Standard Template Matters for Investment Relationships

A consistent template reduces drafting errors, clarifies fee and fiduciary duties, and creates an auditable record for compliance with tax and securities rules. It also makes it easier to collect signatures, evidence consent, and preserve a complete execution trail for disputes or regulatory review.

Why a Standard Template Matters for Investment Relationships

Who Typically Prepares and Signs This Template

Investment managers, wealth advisors, compliance officers, and private clients commonly prepare and exchange this agreement.

  • Registered investment advisers and asset managers who document discretionary mandates and performance fee structures.
  • Private clients and family offices who need written terms for custody, reporting, and fee billing.
  • Compliance and legal teams responsible for KYC, AML, and recordkeeping tied to client accounts.

The template helps multiple stakeholders align on operational, regulatory, and commercial terms before onboarding or continuing an investment relationship.

Core Sections Included in a Professional Template

A complete Financial Investment Management Template groups contractual items into clear, reviewable sections to reduce ambiguity and support downstream workflows.

Parties

Names and legal entity details for manager and client including tax ID and contact information for notices.

Scope

Services description, discretionary limits, investment objectives, permitted instruments, and any portfolio constraints.

Fees

Management and performance fee formulas, billing frequency, expense reimbursement rules, and payment mechanics.

Custody & Settlement

Custodian designation, cash handling, wire instructions, and instructions for trade settlement and asset transfers.

Reporting

Report cadence, content requirements, delivery method, and reconciliation procedures for statements and performance reports.

Termination

Notice periods, wind-down obligations, final accounting, and post-termination asset transfer procedures.

Step-by-Step: Completing the Template

Follow these steps to prepare, review, and finalize the agreement for signature.

  • 01
    Draft: Populate parties, scope, and fee fields carefully.
  • 02
    Attach Schedules: Include selector exhibits: risk profile, investment guidelines, and KYC documents.
  • 03
    Compliance Check: Confirm AML, KYC, and conflicts checks are complete.
  • 04
    Execute: Collect signatures and deliver countersigned copies to all parties.

Typical Online Execution Workflow

An e-signature-enabled workflow reduces turnaround time while preserving auditability and evidentiary metadata.

  • Upload Document: Add the template PDF or DOCX to the e-sign platform.
  • Add Fields: Place signature, date, and initials fields for each signer.
  • Assign Signers: Define signer order and authentication method.
  • Complete Signing: Signer authenticates, signs, and receives a final copy with audit trail.

Typical Platform Settings for Secure eSubmission

Configure the following fields to balance signer convenience and authentication strength.

Field Configuration
Signer Authentication Email + SMS code or KBA for higher assurance
Access Links Expire links after 7–30 days
Audit Trail Enable full IP, timestamp, and action logging
Document Retention Retain signed copies for required legal periods

Delivery Channels and Technical Requirements

Choose delivery and storage options that meet your security and integration needs.

  • Supported Formats: PDF, DOCX, XLSX
  • Integrations: Salesforce, NetSuite, Google Workspace
  • Authentication: Email, SMS, SSO where required

Confirm recipient device compatibility and encryption in transit and at rest to maintain chain-of-custody and audit readiness.

eSignature Vendor Comparison for This Template

Compare common eSignature options for executing investment management agreements; signNow appears first per platform comparison conventions.

signNow DocuSign Adobe Sign PandaDoc HelloSign
Starting Price $8/user/mo $15/user/mo $14/user/mo $19/user/mo $15/user/mo
Free Trial 7-day free trial Varies by vendor Varies by vendor Varies by vendor Varies by vendor
Bulk Send Yes (tiered) Yes Yes Yes No
Audit Trail Yes Yes Yes Yes Yes
HIPAA Compliant Yes Yes Yes No No
Envelope Cap No cap 100 envelopes/user/year Varies by plan Varies by plan Varies by plan

Security and Compliance Features to Check

Encryption: TLS 1.2/1.3 in transit; AES-256 at rest
Certifications: SOC 2 Type II and ISO 27001 available
HIPAA: BAA required for protected health information
Audit Trail: Detailed timestamps, IP, and action history
21 CFR Part 11: Support for FDA-regulated records where required
Accessibility: WCAG 2.0 Level AA compliance

Key Risks and Potential Penalties

Incorrect TIN: May trigger 24% backup withholding
Late Reporting: 1099 penalties range by lateness tier
I-9 Errors: Civil penalties per DHS guidance
Misstated Fees: Breach claims and fee disputes
Unauthorized Transfers: Custody and regulatory sanctions
Insufficient Audit Trail: Reduced enforceability in disputes

Common Preparation Pitfalls to Avoid

  • Leaving fee formulas vague and failing to include calculation examples leads to disputes and reconciliation effort.
  • Using inconsistent party names or mismatched TINs triggers payment and tax reporting failures and potential backup withholding.
  • Failing to attach custodian account or wire instructions delays settlement and can expose funds to transfer risk.
  • Skipping compliance checks (KYC/AML) before execution can block account onboarding and create regulatory risk.

Typical Timing and Processing Expectations

Plan execution steps and reporting timelines so responsibilities and delivery dates are clear to all parties.

Effective Date Entry:

Enter MM/DD/YYYY; governs fee accrual and reporting start.

Funding Deadline:

Specify number of days after execution for initial funding.

Quarterly Reporting:

Standard 30 days after quarter end for statements.

Amendment Notice:

Require X days' notice for material amendments.

Tax Reporting:

Collect tax info promptly to meet year-end reporting obligations.

Frequently Asked Questions About This Template

Answers to common questions about completion, signatures, and legal validity for Financial Investment Management Templates.


Need help? Contact support

be ready to get more
Join over 28 million airSlate SignNow users