Common use of RIA Sales Clause in Contracts

RIA Sales. In the event Selected Dealer has an affiliated registered investment advisor (“RIA”) which is recommending the purchase of Shares to an investor who has agreed to pay compensation for investment advisory or other financial services and the Selected Dealer elects to waive the selling commissions and the Marketing Fee, none of which will be paid on the sale, then the Selected Dealer must execute the RIA Addendum which is attached hereto as Schedule III.

Appears in 5 contracts

Samples: Selected Dealer Agreement (Guggenheim Credit Income Fund 2021), Selected Dealer Agreement (Guggenheim Credit Income Fund 2019), www.sec.gov

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RIA Sales. In the event Selected Dealer has an affiliated registered investment advisor (“RIA”) which is recommending the purchase of Class A Shares to an investor who has agreed to pay compensation for investment advisory or other financial services and the Selected Dealer elects to waive the selling commissions sales commission of 7.0% and the Marketing Fee, none neither of which will be paid on the sale, then the Selected Dealer must execute the RIA Addendum which is attached hereto as Schedule III.

Appears in 3 contracts

Samples: Selected Dealer Agreement (Carey Watermark Investors 2 Inc), Selected Dealer Agreement (Corporate Property Associates 18 Global Inc), Selected Dealer Agreement (Corporate Property Associates 18 Global Inc)

RIA Sales. In the event Selected Dealer has an affiliated registered investment advisor (“RIA”) which is recommending the purchase of Class A Shares to an investor who has agreed to pay compensation for investment advisory or other financial services and the Selected Dealer elects to waive the selling commissions sales commission of 7.0% and the Marketing Support Fee, none neither of which will be paid on the sale, then the Selected Dealer must execute the RIA Addendum which is attached hereto as Schedule III.

Appears in 1 contract

Samples: Selected Dealer Agreement (Corporate Property Associates 18 Global Inc)

RIA Sales. In the event Selected Dealer has an affiliated registered investment advisor (“RIA”) which is recommending the purchase of Shares to an investor who has agreed to pay compensation for investment advisory or other financial services and the Selected Dealer elects to waive the selling commissions sales commission of 7.0% and the Marketing Feemarketing fee, none neither of which will be paid on the sale, then the Selected Dealer must execute the RIA Addendum which is attached hereto as Schedule III.

Appears in 1 contract

Samples: Selected Dealer Agreement (Carey Watermark Investors Inc)

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RIA Sales. In the event Selected Dealer has an affiliated registered investment advisor (“RIA”) which is recommending the purchase of Class A Shares to an investor who has agreed to pay compensation for investment advisory or other financial services and the Selected Dealer elects to Carey Fixxxxxal, LLC Selected Dealer Agreement 7 waive the selling commissions sales commission of 7.0% and the Marketing Fee, none neither of which will be paid on the sale, then the Selected Dealer must execute the RIA Addendum which is attached hereto as Schedule III.

Appears in 1 contract

Samples: Selected Dealer Agreement (Carey Watermark Investors 2 Inc)

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