Wealth Management Clause Samples

Wealth Management. It is considered as the distributional arm of Riyad Capital. Our investment experts have the sound judgment, prudence and maturity to capably manage your wealth in a discretionary manner. Brokerage Services Our team is made up of seasoned market . professionals with extensive experience in all aspects of the stock, sukuk and bonds trading markets. At Riyad Capital, our experts are able to operate quickly and effectively ensuring they match your individual investment needs.

Wealth Management. If your investments are valued at £320,000 and you have selected the Wealth Management Service (0.5% pa) the ongoing management fee we would receive is £1,600. As this exceeds the minimum ongoing service fee for this service level no other charges would be applied. The total fee payable would be £1,600 per annum. Any change to the level of services throughout this agreement will result in a pro-rata charge being applied. You can choose to pay these fees directly or by deduction from the policy(ies) you hold. Should you wish to pay directly you can spread the payment over a 12 month period by standing order. At each anniversary of this agreement we will revalue your policy(ies) and notify you of any revised annual charges due to any fluctuation of your investment(s) at that time. When the level of on-going services has been agreed these are deemed to commence immediately and are payable yearly in arrears. You can choose to cancel this at any time by providing us with written confirmation of your decision. Payments would then cease within 7 business days or after collection of any due proportion of any period charges if later. This engagement is made between: Southam Financial Planning Ltd And: …………………………………………………………………………. I/We would like to subscribe to the following ongoing service option (please tick the appropriate boxes) I/We understand that the fee for this service is 0.5% of the value of the relevant investments each year, subject to a minimum of £247.

Wealth Management. BRBS represents and warrants that (1) it or one of its Subsidiaries has originated and serviced each Wealth Management Relationship in compliance with applicable laws and regulations in all material respects; (2) each instrument or agreement governing a Wealth Management Relationship has been duly and validly executed and delivered by it or one of its Subsidiaries and, to its Knowledge, the other contracting parties, and each such instrument or agreement constitutes a valid, binding and enforceable obligation of it and, to its Knowledge, the other parties thereto; and (3) its and its Subsidiaries’ employees that conduct business associated with the Wealth Management Relationships hold all necessary licenses and registrations to lawfully conduct such business. FVCB represents and warrants that it does not originate or service Wealth Management Relationships. As used herein, the term “Wealth Management Relationships” shall mean a party’s relationships with its customers relating to the provision by it (including through a Subsidiary) of financial planning, annuities, life insurance, securities brokerage, investment advisory and management and similar services, as well as all assets under management or custody associated with each of such relationships and investment products or opportunities offered to its customers (including through a Subsidiary) in connection with each of such relationships.

Wealth Management. It represents and warrants that: (i) it or one of its Subsidiaries has originated and serviced each Wealth Management Relationship in compliance with applicable laws and regulations in all material respects; (ii) each instrument or agreement governing a Wealth Management Relationship has been duly and validly executed and delivered by it or one of its Subsidiaries and, to its Knowledge, the other contracting parties, and each such instrument or agreement constitutes a valid, binding and enforceable obligation of it and, to its Knowledge, the other parties thereto; and (iii) its and its Subsidiaries’ employees that conduct business associated with the Wealth Management Relationships hold all necessary licenses and registrations to lawfully conduct such business. As used herein, the term “Wealth Management Relationships” shall mean a party’s relationships with its customers relating to the provision by it (including through a Subsidiary) of financial planning, annuities, life insurance, securities brokerage, investment advisory and management and similar services, as well as all assets under management or custody associated with each of such relationships and investment products or opportunities offered to its customers (including through a Subsidiary) in connection with each of such relationships.

Wealth Management. It has originated and serviced each Wealth Management Relationship in compliance with applicable laws and regulations in all material respects. Each instrument or agreement governing a Wealth Management Relationship has been duly and validly executed and delivered by it and, to its Knowledge, the other contracting parties, and each such instrument or agreement constitutes a valid, binding and enforceable obligation of it and, to its Knowledge, the other parties thereto. Its and its Subsidiaries’ employees that conduct business associated with the Wealth Management Relationships hold all necessary licenses and registrations to lawfully conduct such business. For the purposes of this Agreement, “Wealth Management Relationships” means a party’s relationships with its customers relating to the provision by it (including through a Subsidiary) of financial planning, annuities, life insurance, securities brokerage, investment advisory and management and similar services, as well as all assets under management or custody associated with each of such relationships and investment products or opportunities offered to its customers (including through a Subsidiary) in connection with each of such relationships.

Wealth Management. We provide retail brokerage, investment management, and insurance, and tax preparation services to individuals and families, small businesses, non-profits, trusts, foundations, endowments, and qualified retirement plans through a boutique private wealth and investment management firm to meet the individual financial needs and goals of our customers. Our experienced financial advisors provide investment management, retirement planning, education planning, wealth transfer and trust coordination, and lending and liquidity solutions. Our investment strategists provide strategies and real-time market views and commentary to help our clients make important and informed financial and investment decisions. Wealth management revenues are comprised of the following: Table of Contents Revenues - Services and fees Brokerage revenues $ 91,488 $ 88,866 Advisory revenues 77,307 73,904 Other 28,673 30,717 Total services and fees revenue 197,468 193,487 Trading income 3,278 4,758 Total revenues $ 200,746 $ 198,245 Total assets under management were approximately $20.7 billion and $25.4 billion at December 31, 2024 and 2023, respectively. Of these amounts, advisory assets under management totaled approximately $6.9 billion at December 31, 2024 and $8.0 billion at December 31, 2023. Advisory revenues were 0.25% and 0.24% of average advisory assets under management during the years ended December 31, 2024 and 2023, respectively. The average revenues earned on advisory assets under management are not expected to fluctuate significantly from period to period as a percentage of advisory assets under management. Broker revenues are primarily comprised of commissions and fees earned from trading activities from brokerage client assets. Other revenues are primarily comprised of tax service fees and management fees earned from comprehensive client focused services performed. Communications Segment – We own a number of businesses that comprises our Communications Segment that we have acquired for attractive risk-adjusted investment return characteristics. We may pursue future acquisitions to expand this portfolio of businesses which currently includes: Lingo Management, LLC (“Lingo Management”), a global cloud/unified communications and managed service provider that includes the operations of BullsEye Telecom, Inc. (“BullsEye”), a single source communications and cloud technology provider previously merged into Lingo; Marconi Wireless Holdings, LLC (“Marconi Wireless”), a mobile virt...