Common use of Investment Consulting Clause in Contracts

Investment Consulting. To the extent specifically designated by the CLIENT on the annexed Schedule “A”, the PLANNER may provide the CLIENT with portfolio review and non-discretionary investment consulting services. If so designated, the PLANNER shall review the CLIENT’s existing investment portfolio, and then provide corresponding investment recommendations and advice consistent with the CLIENT’s designated investment objective(s), all of which recommendations and advice shall be based exclusively upon the information provided to the PLANNER by the CLIENT. In the event that a CLIENT’s personal/financial situation or investment objective(s) change, it is the CLIENT’s responsibility to notify the PLANNER accordingly for the purpose of the PLANNER reviewing/evaluating/revising previous recommendations, which follow-up services could be subject to an additional mutually agreed upon fixed- fee or an hourly rate charge. The CLIENT maintains absolute discretion as to whether or not to accept any of the PLANNER’s investment recommendations. PLANNER’s investment consulting service is generally intended to provide limited investment advice. The PLANNER’s investment consulting service does not include investment implementation nor ongoing investment supervision, monitoring, or reporting services. The CLIENT acknowledges that past performance may not be indicative of future results, and understands that the future performance of any specific investment or investment strategy (including the investments and/or investment strategies recommended by the PLANNER) may not be profitable or equal historical performance level(s). In the event that the PLANNER is requested to provide consulting services with respect to a retirement plan sponsored by the CLIENT’s employer, the CLIENT acknowledges that the PLANNER’s recommendations shall be limited to the investment alternatives provided by the retirement plan.