Betterment Advisory Agreement

For accounts receivable for which we provide investment advisory services, we retain the margin of appreciation on accounts receivable with respect to the securities to be bought and sold, as well as the quantity of securities to be bought and sold. Investment discretism is explained in detail to clients when an advisory relationship has begun. At the beginning of the advisory relationship, the client will arrange a limited power of attorney that will give our authority leeway through the account. In addition, the discretionary relationship is set out in the advisory contract and signed by the client. By enabling your clients to execute your company`s consulting contract as part of Betterment for Advisors` white label registration experience, you automate a manual process that gives you more time to focus on your business while providing a better experience for your clients. Contact us with any questions to As noted in point 12 above, WatchDog Planning participates in TD Ameritrade`s institutional client program and WatchDog Planning may recommend TD Ameritrade to its clients for custodial and brokerage services. There is no direct link between WatchDog Planning`s participation in the program and the investment advice it provides to its clients, although WatchDog Planning enjoys economic benefits that TD Ameritrade private investors cannot normally obtain by participating in the program. These benefits include the following products and services (free of charge or with a discount): receive extracts and double confirmations; research-related products and tools; advisory services; access to a trading desk serving WatchDog Planning participants; access to block trading (which allows securities transactions to be aggregated for execution and then the corresponding shares to be allocated to client accounts); the possibility of having consulting costs deducted directly from accounts receivable; access to an electronic communications network for the recording of orders and the client`s account information; access to investment funds without transaction fees and to certain institutional asset managers; and discounts on compliance, marketing, research, technology, and practical management products or services provided by third parties to WatchDog Planning. TD Ameritrade may also have paid for business and professional consulting services received by individuals associated with WatchDog Planning. Some of the products and services provided by TD Ameritrade through the program may benefit WatchDog Planning, but may not benefit its customer accounts. . .


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