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Sample Agreements
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| Confidentiality Agreement |
| This document is designed to protect the integrity of confidential information shared between two parties, often the buyer and seller, without compromising the confidence and trust of the relationship. |
| Purchase Agreement |
| This sample agreement is intended to allow for the purchase of a practice. Within this agreement parties will stipulate financial terms, responsibilities of parties, and indemnification. |
| Asset Purchase Agreement |
| This sample agreement is designed to facilitate the sale of both tangible and intangible assets to a purchaser. This agreement is sometimes used in conjunction with the Purchase Agreement above if actually property is being transferred to the purchaser as part of the acquisition. |
| Consulting Agreement |
| Often Seller’s are asked to act as an on-going consultant as part of the terms of the acquisition to help ensure a smooth transition of clients. This basic consulting agreement outlines the relationship between the two parties. |
| Shareholder Agreement |
| This standard shareholder’s agreement outlines the duties, responsibilities, and rights of the shareholders participating in ownership of the company’s capital stock. |
| Catastrophe Buy/Sell Agreement |
| This agreement provides very basic protection to heirs in the event of an advisors death. It allows the advisor to stipulate the person who will be purchasing the business and the financial terms of the agreement. This is the minimum required document to meet the NASD Rule 2420-2 for Continuing Commissions. |
| Detailed Buy/Sell Agreement |
| This agreement provides both the buyer and the seller more protection (like disclosure, arbitration, and the book and records clauses) and addresses a broader range of issues than the Catastrophe Buy/Sell Agreement. It is our recommendation that this agreement be used in most cases. |
| Catastrophe Buy/Sell Agreement (Reciprocal) |
| Often advisors mutually decide they will enter into a reciprocal purchase agreement in the event of a catastrophe to meet the minimum requirements of the NASD for Continuing Commissions. This basic document provides the framework for such an agreement. |
| Catastrophe Buy/Sell Letter |
| This document provides a sample letter to be sent to your clients in the event of a catastrophe requiring the execution of your buy/sell agreement. Although we strongly recommend you personalize this communication to your clients in advance this letter may provide the basis for drafting your own message. |
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