Yes! You can use AI to fill out HTK Investment Advisory Agreement for Selection of Third Party Investment Advisory Services
Form H9105, the HTK Investment Advisory Agreement, formalizes the relationship between a client and HTK for advisory services related to third-party money managers. It outlines the mutual responsibilities, compensation structure, and legal provisions, including a mandatory arbitration clause for resolving disputes. This agreement is crucial for clients who wish to utilize HTK's expertise in selecting and overseeing external investment professionals. Today, this form can be filled out quickly and accurately using AI-powered services like Instafill.ai, which can also convert non-fillable PDF versions into interactive fillable forms.
H9105 is part of the
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Form specifications
| Form name: | HTK Investment Advisory Agreement for Selection of Third Party Investment Advisory Services |
| Number of fields: | 10 |
| Number of pages: | 4 |
| Filled form examples: | Form H9105 Examples |
| Language: | English |
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How to Fill Out H9105 Online for Free in 2026
Are you looking to fill out a H9105 form online quickly and accurately? Instafill.ai offers the #1 AI-powered PDF filling software of 2026, allowing you to complete your H9105 form in just 37 seconds or less.
Follow these steps to fill out your H9105 form online using Instafill.ai:
- 1 Navigate to Instafill.ai and upload or select the HTK Investment Advisory Agreement (Form H9105).
- 2 Use the AI assistant to automatically populate your personal information in the client signature section, including your printed name.
- 3 Review the sections detailing the advisory services, compensation, and mutual responsibilities to ensure you understand the terms.
- 4 Acknowledge the receipt of HTK’s Advisory Services Brochure (Form ADV) and Privacy Policy as stated within the agreement's text.
- 5 Carefully read the pre-dispute arbitration clause in Section 14 to understand the process for resolving potential disputes.
- 6 Electronically sign and date the agreement in the designated fields for the client, and prepare it for the HTK Investment Adviser Representative's signature.
Our AI-powered system ensures each field is filled out correctly, reducing errors and saving you time.
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Frequently Asked Questions About Form H9105
This agreement is for clients who want Hornor, Townsend & Kent, LLC (HTK) to help them select, monitor, and review the performance of a separate, third-party investment manager for their account.
This agreement must be signed by you (the "Client") and an authorized Investment Adviser Representative from HTK. If the account has more than one owner, all principals must sign.
HTK receives a portion of the advisory fees you pay directly to the Third Party Money Manager you select. HTK then pays a portion of that fee to your individual Investment Adviser Representative.
You must provide current and accurate information about your financial situation, investment objectives, and any restrictions you wish to impose. You are also responsible for promptly notifying your Adviser of any significant changes to this information.
No, the agreement explicitly states there is no guarantee of profit or protection from loss. Investing involves risk, and the advisory services may not result in your financial goals being met.
You can terminate this agreement at any time by providing written notice to HTK. The agreement also terminates if your separate agreement with the Third Party Money Manager is terminated.
This is a mandatory clause stating that you agree to resolve any disputes with HTK through binding arbitration rather than suing in court. By signing, you are giving up your right to a jury trial for most claims related to your account.
Yes, Section 4 outlines specific provisions for retirement accounts. For these accounts, HTK acknowledges it is acting as a 'fiduciary' regarding the advisory services it provides under this agreement.
The agreement does not automatically terminate upon your death or disability. However, your legally authorized representative, such as an executor or guardian, can terminate the agreement by giving written notice.
You, the client, retain the full right and responsibility to vote all proxies for securities held in your account. HTK is expressly precluded from voting proxies on your behalf.
By signing, you confirm receipt of HTK’s Advisory Services Brochure (Form ADV Part 2A and Part 2B) and its Privacy Policy. You should review these documents carefully before signing the agreement.
Yes, services like Instafill.ai use AI to accurately auto-fill your personal information into the form fields, which can save you time and help avoid errors.
You can use a service like Instafill.ai to upload the PDF and fill it out electronically. The platform allows you to type directly into the fields, add signatures, and then download the completed document.
If you have a non-fillable or 'flat' PDF, you can upload it to Instafill.ai. The service can convert it into an interactive, fillable form for you to complete online.
Compliance H9105
Validation Checks by Instafill.ai
1
Ensures Primary Client Information is Complete
This validation confirms that both the 'First Client Printed Name' and 'First Client Signature Date' fields are filled. As the primary party to the agreement, the first client's information is essential for the contract to be valid. If either field is missing, the submission is rejected, and the user is prompted to provide both the printed name and the signature date for the primary client.
2
Ensures Primary HTK Representative Information is Complete
This check verifies that the 'First HTK IAR Name' and 'First HTK IAR Signature Date' fields are both completed. The agreement requires execution by an authorized representative of Hornor, Townsend & Kent, LLC to be legally binding. A failure in this validation prevents the form from being processed, requiring the user to enter the details for the primary IAR.
3
Validates Signature Date Format (MM/DD/YYYY)
This rule ensures that all entered signature dates strictly adhere to the MM/DD/YYYY format as indicated on the form. Consistent date formatting is crucial for accurate record-keeping, data parsing, and legal clarity. If a date is entered in an incorrect format (e.g., 'June 1, 2023' or '2023-06-01'), the system will flag the field and require the user to correct it before submission.
4
Ensures Signature Date is Plausible and Not in the Future
This validation checks that any entered signature date is not a future date and is not unreasonably old. It also compares the date against the form's revision date (06/20), ensuring the agreement was signed on or after June 1, 2020. This prevents typographical errors and confirms the correct version of the agreement was used.
5
Validates Format of Client Printed Name
This check ensures the 'First Client Printed Name' and 'Second Client Printed Name' fields contain valid characters appropriate for a person's name (e.g., letters, hyphens, apostrophes, spaces). It prevents the entry of purely numerical data, random symbols, or placeholder text. This is important for maintaining data integrity and ensuring the legal document correctly identifies the client.
6
Validates Format of HTK IAR Printed Name
This validation ensures that all 'HTK IAR Name (Print)' fields contain text that appears to be a valid name, consisting of letters and standard name punctuation. This prevents erroneous data entry, such as account numbers or gibberish, from being entered into a legal name field. If the validation fails, the user is prompted to enter the full, correctly spelled name of the representative.
7
Ensures Paired Entry for Second Client
This rule checks that if a 'Second Client Printed Name' is provided, the 'Second Client Signature Date' is also filled out, and vice versa. This enforces the completeness of the second signatory's information block, as a name without a signature date (or vice versa) is an incomplete entry. A failure prompts the user to either complete the pair or remove the partial entry.
8
Ensures Paired Entry for Additional HTK IARs
This validation confirms that if a 'Second HTK IAR Name' or 'Third HTK IAR Name' is entered, its corresponding signature date field is also completed. An IAR's signature is not valid without both a name and a date. This check prevents incomplete records and ensures all signing parties are fully documented.
9
Validates Hierarchical Entry of Signatories
This check ensures that signatories are added in the correct order. For example, a 'Second Client Printed Name' cannot be entered if the 'First Client Printed Name' is blank. Similarly, a 'Third HTK IAR Name' is not allowed if the 'First HTK IAR Name' is not present. This maintains logical data structure and prevents orphaned entries.
10
Verifies Signature Dates are within a Reasonable Timeframe
This validation checks if all provided signature dates on the agreement fall within a reasonable period of each other, for example, 60 days. This is important to demonstrate that all parties agreed to the terms at roughly the same time, which can be critical for the agreement's enforceability. If dates are too far apart, it could indicate a stale offer or a potential issue with the execution process, triggering a manual review.
11
Ensures Client Signature Date is Not After HTK Signature Date
This rule verifies that the client's signature date is on or before the HTK IAR's signature date. In a typical contract workflow, the client signs the agreement first, making an offer, which the company (HTK) then accepts and countersigns. A violation could indicate an incorrect date entry or a procedural error that needs correction.
12
Ensures Distinct Names for Multiple HTK IARs
This validation checks that if more than one HTK IAR name is provided, the names are unique. It is highly improbable that the same representative would sign the document multiple times in different signatory slots. This check helps catch potential data entry errors, such as duplicating the first IAR's information into the second slot.
Common Mistakes in Completing H9105
Section 15 explicitly states, 'If more than one, all principals to the account must sign.' This is frequently overlooked when one person fills out the form for a joint account. This oversight invalidates the agreement, causing significant delays in account setup and management until a properly executed form with all signatures is submitted. To avoid this, carefully review the signature block and ensure all required parties sign in the designated client signature areas.
The form requires that if a signatory is a fiduciary (e.g., a trustee for a plan), they must indicate the capacity in which they are signing. People often sign with just their name, forgetting to add 'Trustee' or their specific title. This creates legal ambiguity regarding the authority to enter the agreement, potentially rendering it unenforceable and delaying the management of trust or plan assets. Always add your official title next to your signature if signing on behalf of an entity.
The signature fields specify the date format '(mm/dd/yyyy)'. Applicants often use other formats like 'dd/mm/yyyy' or write out the month, leading to data entry inconsistencies and potential compliance issues. An incorrect or missing date can raise questions about when the agreement was legally executed. To prevent this, always use the specified numerical format; AI-powered form fillers like Instafill.ai can automatically format dates correctly to meet form requirements.
Section 14 is a pre-dispute arbitration clause, and the signature block explicitly notes its presence. Clients often sign the agreement without fully reading or understanding that they are waiving their right to sue in court, including the right to a jury trial. This is a significant legal concession that can have major consequences if a dispute arises. It is crucial to read Section 14 carefully and understand its implications before signing.
The signature page has distinct sections for the 'Client' and the 'HTK IAR' (Investment Adviser Representative). In a rush, a client might accidentally sign on a line meant for the adviser, or vice-versa. This simple error invalidates the document's execution and requires the form to be re-signed by all parties, delaying the entire process. Always double-check that you are signing in the correct block designated for the 'Client'.
In Section 3, the client attests to receiving HTK’s Advisory Services Brochure (Form ADV Part 2A/2B) and Privacy Policy. Clients sometimes sign this without having actually received or reviewed these critical documents. This is a serious mistake, as it prevents the client from making a fully informed decision and weakens their ability to claim they weren't aware of the fees, services, and conflicts of interest described within. Always insist on receiving and reading all disclosure documents before signing any attestation.
Section 3 states that the client agrees to promptly notify the adviser of any significant changes to their financial situation or investment objectives. Many clients view the form as a one-time event and forget this ongoing obligation. Failure to provide updates can lead to investment strategies that are no longer suitable for the client's circumstances, potentially resulting in financial losses or unmet goals. Set a reminder to review your situation annually or contact your adviser immediately after a major life event.
For retirement or employee benefit plan accounts, Section 4 requires the client to furnish true and complete copies of all documents establishing and governing the plan. A client may sign the agreement but forget to provide these essential supporting documents. This halts the process, as the adviser cannot act as a fiduciary or manage the account without them. Ensure you provide all governing plan documents along with the signed agreement.
While a signature can be stylized, the printed name next to it must be perfectly legible for proper identification and record-keeping. Clients sometimes rush and their printed name is difficult to read, which can cause processing delays or rejection of the form. Take the time to print your full legal name clearly in the designated space. Using digital form-filling tools can eliminate legibility issues for printed fields.
The text repeatedly mentions a 'separate agreement' with the selected Third Party Money Manager. A common misunderstanding is believing this HTK agreement is the only contract to be signed. This can lead to confusion and delays when the client is later presented with more paperwork from the money manager. Understand that this is an agreement for advisory and referral services, and a separate contract with the actual asset manager will also be required.
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