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Per individual or married couple.
If married, only one person needs to complete this form.

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Name*
Advisor*
Credit Card Details*
Billing Address*
Acknowledgement: Privacy Policy, ADV Brochure & CRS*

Review the content below. Click Submit at the bottom of the page.

Client acknowledges receipt of the Privacy Policy, ADV Part 2 Brochure, & CRS of Provision. If the appropriate disclosure statement was not delivered to the client at least 48 hours prior to the client entering into any written advisory contract with this investment adviser, then the client has the right to terminate the contract without penalty within five business days after entering into the contract.

Upon request the client may have a paper version of Form ADV Part 2 and Privacy Policy delivered.

FINANCIAL PLANNING AND CONSULTING SERVICES

Services are offered on an hourly or negotiable fixed fee basis. Financial Planning Services are exclusive of supervising investments. Services are completed and delivered inside of 60 days as detailed and initialed in Schedule A.

Duties of Provision

Provision hereby accepts appointment and fiduciary duty of utmost good faith to act solely in the best interests of each client pursuant to the terms and conditions set forth in this Agreement and to comply with impartial conduct standards of:

  • Charging no more than reasonable compensation for services provided; and
  • Making no misleading statements regarding investments, compensation and conflicts of interest.

Provision will not be required to take any action or render any advice with respect to the voting of proxies solicited by or with respect to the issuers of securities in which assets of the Account may be invested from time to time.

Provision represents and warrants that it has full power and authority to enter into this Agreement and to perform this Agreement in accordance with its terms and that it is duly registered as an investment advisor under the laws of the Securities and Exchange Commission and other jurisdictions in which it may conduct business.

Duties of Client

Client agrees to:

  1. Notify Provision of a change in life status including, but not limited to, employment, retirement, marital status, or household.
  2. Promptly notify Provision in writing of any changes to its investment policy, and any changes to the restrictions or limitations applicable to the Account, and provide Provision with prior written notice of any changes in the identity of persons authorized to act on behalf of the Client with respect to the Account.
  3. Execute any and all agreements, including limited powers of attorney, necessary or appropriate to enable Provision to perform its investment advisory services hereunder.

Provision will not have custody, at any time, of client funds and/or securities.

Services to Other Clients

It is understood that Provision performs investment advisory services for various clients. Client agrees that Provision may give advice and take action in the performance of its duties with respect to any of its other clients which may differ with the advice given or action taken with respect to the Account, so long as it is Provision’s policy, to the extent practical, to allocate investment opportunities to the Account over a period of time on a fair and equitable basis relative to other clients. Nothing in this Agreement shall be deemed to confer upon Provision any obligation to recommend for the Account a position in any security which Provision, its principals or employees may acquire for its or their own accounts or for the account of any other client, if in the sole and absolute discretion of Provision it is not for any reason practical or desirable to acquire a position in such security for the Account. Provision shall not be held responsible for any loss incurred by reason of any act or omission of any broker or the Custodian for the Account.

Client acknowledges that representatives of Provision may provide client with various insurance products upon which a commission may be paid to Provision representatives, and such commissions are separate and apart from the fees charged under this Agreement. A conflict exists because of the relationship. This conflict is mitigated by disclosures, procedures, and the firm’s Fiduciary obligation. The client is under no obligation to act upon the investment advisor’s recommendations. If the client elects to act on any of the recommendations, the client is under no obligation to effect the transaction through Provision or its representatives.

Duration and Termination

This Agreement shall become effective on the date written above and shall continue in effect until terminated by either party by giving to the other party thirty (30) days written notice.

No assignment of this Agreement by Provision shall be effective without the prior consent of Client. Client may terminate the Agreement within five (5) business days of signing, without penalty, and with full refund. Sections E and G of this Agreement shall survive any termination hereof.

Confidentiality

Provision agrees that all information concerning the financial affairs of Client shall be treated as confidential and shall not be disclosed to third parties without prior authorization of Client, except as required by law.

Market Conditions

Client acknowledges that Provision’s past performance and advice regarding Client’s Account cannot guarantee future results. Client investments can appreciate or depreciate. Provision does not guarantee or warranty that services offered will result in profit.

Notices

All notices and other communications contemplated by this Agreement shall be deemed duly given if it is transmitted to Provision at: 1041 Citrine Cove, Oak Point, TX 75068

And to Client at the address appearing on the Client Profile Form, their specified email address, or included in the client portal.

Governing Law

The validity of this Agreement and the rights and liabilities of the parties hereunder shall be determined in accordance with the laws of the State in which the Client resides, and other jurisdictions in which it may conduct business, except to the extent preempted by ERISA.

Email Address Certification. You certify that the email address you provided above is a functioning email address; owned and maintained by you or your agent on your behalf, and that all electronic communications of reports sent to the email address shall be accessible by you. You agree to notify us in writing of any change in the email address.

Entire Agreement and Amendment

This Agreement (including the Schedules listed below) contains the entire agreement and understanding of the parties with respect to the subject matter hereof and supersedes all prior written agreements and understandings with respect hereto. This Agreement may only be amended or modified, and the terms hereof may only be waived, by a writing signed by all parties hereto or in the case of a waiver, by the party entitled to the benefit of the terms being waived.

SCHEDULE A: Schedule of Fees

If financial planning services are applicable, the client may choose to compensate Provision on an hourly or negotiable fixed fee basis. Provision will provided financial planning services in the following areas:

  • Estate Planning, Wills, Trusts (limited to education and online estate planning tools)

Client is under no obligation to act upon Provision’s recommendation. If Client elects to act on any of Provision’s recommendations, Client is under no obligation to effect the transaction through Provision. The fee is payable at the time of entering into the agreement. Services are completed and delivered inside of 60 days. Client may cancel within five (5) business days of signing the Agreement for a full refund. If the client cancels after five (5) business days, but before the delivery of the plan, the client will either pay any earned fees to Provision for the work completed or client will receive a refund for the unearned fees paid.

FIXED FEES

Financial Planning and Consulting Services are offered based on a negotiable fixed fee, and this specific service is $1,500, falls within the Consulting Services and is limited to education (provisionestate.com) and online estate planning tools only (Estately.com).

Client acknowledges receipt of the Privacy Policy, ADV Part 2 Brochure, & CRS of Provision. If the appropriate disclosure statement was not delivered to the client at least 48 hours prior to the client entering into any written advisory contract with this investment adviser, then the client has the right to terminate the contract without penalty within five business days after entering into the contract.

Upon request the client may have a paper version of Form ADV Part 2 and Privacy Policy delivered.

FINANCIAL PLANNING AND CONSULTING SERVICES

Services are offered on an hourly or negotiable fixed fee basis. Financial Planning Services are exclusive of supervising investments. Services are completed and delivered inside of 60 days as detailed and initialed in Schedule A.

Duties of Provision

Provision hereby accepts appointment and fiduciary duty of utmost good faith to act solely in the best interests of each client pursuant to the terms and conditions set forth in this Agreement and to comply with impartial conduct standards of:

  • Charging no more than reasonable compensation for services provided; and
  • Making no misleading statements regarding investments, compensation and conflicts of interest.

Provision will not be required to take any action or render any advice with respect to the voting of proxies solicited by or with respect to the issuers of securities in which assets of the Account may be invested from time to time.

Provision represents and warrants that it has full power and authority to enter into this Agreement and to perform this Agreement in accordance with its terms and that it is duly registered as an investment advisor under the laws of the Securities and Exchange Commission and other jurisdictions in which it may conduct business.

Duties of Client

Client agrees to:

  1. Notify Provision of a change in life status including, but not limited to, employment, retirement, marital status, or household.
  2. Promptly notify Provision in writing of any changes to its investment policy, and any changes to the restrictions or limitations applicable to the Account, and provide Provision with prior written notice of any changes in the identity of persons authorized to act on behalf of the Client with respect to the Account.
  3. Execute any and all agreements, including limited powers of attorney, necessary or appropriate to enable Provision to perform its investment advisory services hereunder.

Provision will not have custody, at any time, of client funds and/or securities.

Services to Other Clients

It is understood that Provision performs investment advisory services for various clients. Client agrees that Provision may give advice and take action in the performance of its duties with respect to any of its other clients which may differ with the advice given or action taken with respect to the Account, so long as it is Provision’s policy, to the extent practical, to allocate investment opportunities to the Account over a period of time on a fair and equitable basis relative to other clients. Nothing in this Agreement shall be deemed to confer upon Provision any obligation to recommend for the Account a position in any security which Provision, its principals or employees may acquire for its or their own accounts or for the account of any other client, if in the sole and absolute discretion of Provision it is not for any reason practical or desirable to acquire a position in such security for the Account. Provision shall not be held responsible for any loss incurred by reason of any act or omission of any broker or the Custodian for the Account.

Client acknowledges that representatives of Provision may provide client with various insurance products upon which a commission may be paid to Provision representatives, and such commissions are separate and apart from the fees charged under this Agreement. A conflict exists because of the relationship. This conflict is mitigated by disclosures, procedures, and the firm’s Fiduciary obligation. The client is under no obligation to act upon the investment advisor’s recommendations. If the client elects to act on any of the recommendations, the client is under no obligation to effect the transaction through Provision or its representatives.

Duration and Termination

This Agreement shall become effective on the date written above and shall continue in effect until terminated by either party by giving to the other party thirty (30) days written notice.

No assignment of this Agreement by Provision shall be effective without the prior consent of Client. Client may terminate the Agreement within five (5) business days of signing, without penalty, and with full refund. Sections E and G of this Agreement shall survive any termination hereof.

Confidentiality

Provision agrees that all information concerning the financial affairs of Client shall be treated as confidential and shall not be disclosed to third parties without prior authorization of Client, except as required by law.

Market Conditions

Client acknowledges that Provision’s past performance and advice regarding Client’s Account cannot guarantee future results. Client investments can appreciate or depreciate. Provision does not guarantee or warranty that services offered will result in profit.

Notices

All notices and other communications contemplated by this Agreement shall be deemed duly given if it is transmitted to Provision at:
1041 Citrine Cove,
Oak Point, TX 75068

And to Client at the address appearing on the Client Profile Form, their specified email address, or included in the client portal.

Governing Law

The validity of this Agreement and the rights and liabilities of the parties hereunder shall be determined in accordance with the laws of the State in which the Client resides, and other jurisdictions in which it may conduct business, except to the extent preempted by ERISA.

Email Address Certification. You certify that the email address you provided above is a functioning email address; owned and maintained by you or your agent on your behalf, and that all electronic communications of reports sent to the email address shall be accessible by you. You agree to notify us in writing of any change in the email address.

Entire Agreement and Amendment

This Agreement (including the Schedules listed below) contains the entire agreement and understanding of the parties with respect to the subject matter hereof and supersedes all prior written agreements and understandings with respect hereto. This Agreement may only be amended or modified, and the terms hereof may only be waived, by a writing signed by all parties hereto or in the case of a waiver, by the party entitled to the benefit of the terms being waived.

SCHEDULE A: Schedule of Fees

If financial planning services are applicable, the client may choose to compensate Provision on an hourly or negotiable fixed fee basis. Provision will provided financial planning services in the following areas:

  • Estate Planning, Wills, Trusts (limited to education and online estate planning tools)

Client is under no obligation to act upon Provision’s recommendation. If Client elects to act on any of Provision’s recommendations, Client is under no obligation to effect the transaction through Provision. The fee is payable at the time of entering into the agreement. Services are completed and delivered inside of 60 days. Client may cancel within five (5) business days of signing the Agreement for a full refund. If the client cancels after five (5) business days, but before the delivery of the plan, the client will either pay any earned fees to Provision for the work completed or client will receive a refund for the unearned fees paid.

FIXED FEES

Financial Planning and Consulting Services are offered based on a negotiable fixed fee, and this specific service is $1,500, falls within the Consulting Services and is limited to education (provisionestate.com) and online estate planning tools only (Estately.com).