Alpine Advisors, LLC
Financial Planning and Investment Advisory Services

(this financial planning client agreement used for financial planning and non-asset management services)

ThisFinancialPlanningAgreement(”Agreement”)isenteredintothis dayof ,20 byand betweenAlpine Advisors, LLC, (“Advisor”),aRegistered Investment Advisor, ,(“Client”),and theAdvisorRepresentative James R. Ivie (“AdvisorRepresentatives”). Clientdesirestoreceivefinancial planning and/oradvisoryservicesfromAdvisorandAdvisorRepresentativeasstatedbelow.

1. ClientInformation

Primary

Name / Email Address
HomeAddressCityStateZipCode
HomeTelephoneNumber / Cell PhoneNumber

Secondary(ifapplicable)

Name / Email Address
HomeAddress(ifdifferentthanPrimary)CityStateZipCode
HomeTelephoneNumber / Cell PhoneNumber

2.InvestmentAdvisoryServices

Itisexpresslyagreedandunderstoodbetweenthepartiesthatthefeespaidhereunderareforfinancialplanning/investmentadvisoryservicesonlyandsubjecttothelimitationssetforthbelow. ThisAgreementdoesnotinvolveassetmanagementservices.

Financial Plan: AdvisorwillprepareawrittenfinancialplanfortheClientbasedontheinformationanddocumentsprovidedbytheClient.Thefinancialplanincludes(checktheapplicableservices):

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Accumulation Goals

Balance Sheet Analysis

Business Planning

Cash Flow Analysis

College Planning

Debt Management

Disability Planning

Estate Planning

Income Tax Planning

Portfolio Analysis

Retirement Planning

Survivor Needs Analysis

Other______

Other______

Other______

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Financial Plan Fee: $ Plan Completion Date:

Consultation:

Purpose of Consultation:

Hourly Fee: $ Approx. number of hours:

Agreement and Authorization

It is understood and agreed that:

Fees.

(a)The Client will compensate Alpine Advisors for all services furnished under this agreement by the payment of fees in accordance with these provisions. It is agreed that the fees are in no way based on the capital gains or appreciation of your investments.

(b)Fees will be determined by Alpine Advisors and its IAR based on the assessment of the services agreed upon and the complexity of your financial circumstances.

(c)In some circumstances, the IAR may request part of the fee to be paid upon the signing of this Agreement. Under such an arrangement, the account collected may not exceed 50% (unless otherwise agreed upon) of the total fee. In addition, amounts tendered as partial payment in excess of $500 will be refunded to the Client(s) should the services contemplated herein not be completed within the agreed upon time from the signing of this Agreement.

(d)If you request an annual review and update of your plan,the fee will be based on the complexity of each year’s review. The fee will be due and payable at the completion of the review and update.

(e)Under this Agreement, except for the authorized deduction of client fees, neither Alpine Advisors nor any IAR will at any time have custody or possession of your money or securities; nor have the discretionary authority over your money or securities.

(f)You recognize that the value and usefulness of the financial planning services provided by Alpine Advisors and its IAR will be dependent on the completeness and accuracy of the information you provide and your active participation in the formulation of your financial planning objectives.

Information and Services.

(a)You will provide copies of insurance policies, wills, trusts, business agreements, tax returns, and other documents that may be reasonably requested by Alpine Advisors and it’s IAR in order to complete the evaluation and provide recommendations to you.

(b)Depending on the nature of the engagements, Alpine Advisors and its IAR may provide one or more of the following services:

  1. A review of your present financial position, including the following as appropriate: net worth statement, budget/cash flow analysis, risk assessment and income tax assessment.
  2. A review of your financial goals, objectives, attitudes, risk tolerance and expectations.
  3. A written evaluation and analysis of the information you provided and recommendations for your personalized financial program, including but not limited to the items listed in this Agreement.
  4. The Consultation regarding the potential implementation of recommendations will be in effect for a period of up to three months from the date that the presentation and written evaluation and analysis took place. The consultation period will not extend beyond six months from the date of this Agreement.
  5. Should the parties agree to extend this Agreement beyond six months; Alpine Advisors will provide continued consultation taking into account your changing circumstances.

(c)You may wish to consult with legal counsel or other professionals you deem necessary in implementing recommendations contained in the plan.

(d)Implementation of any portion of the plan is entirely at your discretion and may be done independently of Alpine Advisors or its IAR.

(e)Alpine Advisors is not responsible for acts, omissions or insolvency of any other agent, broker or independent contractor selected to take actions or to negotiate or conclude any transactions for you with respect to the implementation of the plan and/or the recommendations therein.

Miscellaneous Provisions.

(a)Alpine Advisors and its IARs do not provide advice pertaining to tax, legal, property/casualty and other liability insurance. You should speak with an appropriate professional in these areas to discuss your needs.

(b)The laws of the State of Utah will govern this agreement.

(c)This agreement is for the benefit of any successor of Alpine Advisors and will be binding upon your successors and assignees. Alpine Advisors will not assign this Agreement without your written consent.

(d)Modifications to this Agreement may only be made by written consent of all the parties.

(e)You may terminate this Agreement without penalty by sending the written notice to Alpine Advisors within ten business days from the date you accepted this Agreement. After ten days, a pro rata charge for services performed may be charged.

(f)All information you provide to Alpine Advisors and its IAR is considered strictly confidential. Neither Alpine Advisors nor is IAR will disclose this information to anyone without a business need except as may be required to comply with legal requirements or by your written authorization.

(g)You understand that certain officers, employees and/or other affiliates of Alpine Advisors maintain various business relationships through which they receive compensation aside from the fees in this Agreement.

Acknowlegment and Signatures

By signing below, you certify that you agree to the information provided and to all the guidelines outlined in this Agreement and that you have received Advisor’s Form ADV Part II (“Brochure”) and Advisors’ Notice of Privacy. This Agreement is good for 12 months from the date of Alpine Advisors approval.

Client / Joint Client / Advisor
Print Name:
Signature:
Social Security #:
Date:

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