Solicitor’s Written Disclosure Document

Inasmuch as you are being solicited to utilize the advisory services of Vested Finance Inc (hereinafter, Adviser), an investment adviser registered with the Securities and Exchange Commission under Section 203 of the Investment Advisers Act of 1940 (“Advisers Act”), you are hereby provided the following information as required under Rule 206(4)-3 of the Advisers Act:

  • The Solicitor and the Adviser have entered into a written agreement whereby the Solicitor has undertaken to contact those persons and organizations whom he/she believes may wish to utilize the investment advisory services of the Adviser, and to recommend to such persons that they entertain a proposal for such services by the Adviser. In return for the Solicitor’s services under this agreement, the Adviser has agreed to compensate the Solicitor with a cash referral fee based upon a percentage of the investment advisory fees actually received from the clients who have been referred to the Adviser by the Solicitor and who subsequently become clients of the Adviser. The term for which the Solicitor will receive a portion of the advisory fee has been mutually decided between the Solicitor and the Adviser.
  • The Solicitor will assist the Adviser in developing client relationships, and where appropriate maintain continuing contact with the clients so introduced to ensure that the clients are fully satisfied with their relationship with the Adviser and with the investment advisory services received from the Adviser.
  • The Solicitor is not an officer, director or other employee of the Adviser and does not render any investment advice on behalf of the Adviser. The Solicitor’s services to the Adviser consist solely of referrals of prospective clients and related activities pursuant to the agreement described above. The Solicitor is not authorized to act in any way on behalf of the Adviser except in connection with his/her solicitation activities and is not authorized to enter into any agreement or undertaking on behalf of the Adviser with any person(s) or organization(s).
  • No person or organization solicited by the Solicitor on behalf of the Adviser who subsequently becomes a client of the Adviser will be charged for the solicitation activities of the Solicitor. All referral fees paid to the Solicitor represent a portion of the fees actually charged by the Adviser for investment advisory services on behalf of the client. There is no differential between the amount or level of investment advisory fees which the Adviser will charge for managing your account in excess of that which it would customarily charge for managing any other new client with similar assets and which was not referred to the Adviser by the Solicitor.

Acknowledgment of Receipt:

By clicking or tapping the “Continue” button you acknowledge receipt of this Solicitor’s Written Disclosure Document and Part 2 of the Adviser’s Form ADV. You also understand that by signing this Acknowledgment of Receipt, you are not entering into any agreement for investment advisory services with Vested Finance Inc. Such services are available only pursuant to a separate Written Agreement between Vested Finance Inc and the Client.