Investment Agreement Template Page 3
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4- The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. Any controversy or dispute
which may arise between the Client and Adviser concerning any transaction or the construction, performance or breach of this agreement shall be settled by
arbitration. Any arbitration shall be pursuant to the rules, then applying, of the American Arbitration Association, except to the extent set forth herein. The
arbitration panel shall consist of at least three individuals, with at least one panelist having knowledge of investment advisory activities. The parties agree
that any arbitration proceeding pursuant to this
provision shall be held in the southwest Ohio area. The award of the arbitrators shall be final and binding on the parties, and judgment upon the award
rendered may be entered into in any court, state or federal, having jurisdiction.
The agreement to arbitrate does not entitle the Client to obtain arbitration of claims that would be barred by the relevant statute of limitations if such claims
were brought in a court of competent jurisdiction. If at the time a demand for arbitration is made or an election or notice of intention to arbitrate is served,
the claims sought to be arbitrated would have been barred by the relevant statute of limitations or other time bar, any party to this agreement may assert
the limitations as a bar to the arbitration by applying to any court of competent jurisdiction, and the Client expressly agrees that any issues relating to the
application of a statute of limitations or other time bar, are referable to such a court. The failure to assert such bar by application to a court, however, shall
not preclude its assertion before the arbitrators.
If more than one, all principals to the Account must sign. If any signatory is a fiduciary, the capacity in which he or she is acting should be indicated.
NOTE: THIS AGREEMENT CONTAINS A PRE-DISPUTE ARBITRATION CLAUSE, WHICH IS LOCATED ON PAGE 2 AT PARAGRAPH 21.
Privacy Statement
Client Signature(s)
Investment Adviser Signature (Tillar-Wenstrup)
Tillar-Wenstrup
Advisors,
LLC (T-W) only shares your
non-public,
personal
X
information
with
your
_______________________________________
X
broker-dealer
and/or
custodian for transactional
X
purposes
to
which
you
_______________________________________
Stephen Wenstrup
implicitly agreed within the
Name(s) (Print)
Name (Print)
advisor contract with T-W.
Additionally, the sharing of
_____________________________
your non-public, personal
information
for
transactional purposes only
________________________________________
is allowed under regulation
S-P of the Graham Leech,
Bliley Act.
EMAIL ADDRESS
Additionally, we will share
your non-public, personal
________________________________________
Title or Capacity
information only as directed
Address
by you the client.
_______________________________________
Principal
-
_______
_________________
Date:
/
/
-
City/State/Zip
PLEASE COMPLETE ROWS 1, 2 AND 3
__
_
TAXABLE
or
TAX EXEMPT
Date:
/
/
-
TW CORE
or
TW DIVERSIFIED-CORE
CORE STOCKS
CORE STOCKS Plus ETF’s
INT'L
EQUITY Only
BALANCED
Allocation Stk _ ___ %/ Bnd_
%
INVESTMENT OBJECTIVE QUESTIONNAIRE (Exhibit A)
Client Name
Same As Above ?
Portfolio Name (if different from Client Name)
Address
City
State
Zip Code
Daytime Telephone Number
Evening Telephone Number
email address
(
)
(
) ___________________
____________________________
_______________________
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