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Sample Agreements

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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.


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.


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 FINRA Rule 2040 for Payments to Unregistered Persons.


This is a sample letter of intent that establishes documentation for an agreement. A buyer and seller may choose to execute an LOI with assistance from counsel after the due diligence process.