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Solicitor Agreement

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Sep 12, 2009 11:35 pm

Anyone know where I can get a copy of a solicitor’s agreement. I am trying to make on up. The firm I use for my compliance wants to charge an arm and a leg to create it.


Sep 14, 2009 3:32 am

Call an RIA shop and tell them you want to solicit their portfolios - take a look at what they’re doing and maybe creating one will get a little easier.  I’d give you mine, but that would be way too easy.

Sep 14, 2009 12:23 pm

CALI123, give me a ring or send me an email.  I can help you. 

  888-579-8640 / [email protected]    
Sep 14, 2009 4:26 pm

It’s real simple to do.  Review the Advsier’s Act - strangely enough everything you need is in there.  I can create one for you, and will only charge you an arm.

Sep 14, 2009 6:04 pm

Thanks guys. I actually found one hidden in the CD of forms my compliance firm gave me. (it would have been nice if they told me that, instead of trying to charge me again!)

Sep 15, 2009 3:47 pm

Did they provide you with a disclosure document, the one that the client will sign at point of solicitation?

Sep 15, 2009 4:11 pm

There is a whole section on forms. Haven’t had the time to study it. I am acting as the subadvisor, wouldn’t the solicitor have to have his own disclosure document too?

I’m going to call around latter this week also. I am acting as a subadvisor to a fund of funds -I don’t want to screw it up and look like an idiot.

Sep 15, 2009 8:08 pm

That sounds exciting.

  As far as disclosure document, this is what I meant.   I solicitor, at the point of soliciting a client, gives the client a form to sign stating the terms of your solicitor agreement (how much the solicitor makes, what your fees are, any possible relationship) and your ADV Part II.   You get a copy of the signed disc. document.   As far as a funds of funds (and implications) - that is outside of my current knowledge base.  But at least I can admit it.
Sep 15, 2009 10:26 pm

Gotcha - I think I saw that form in there (well, a generic version). I have the disk at home. I’ll probably look over it this weekend.

Thanks for the help!!!