Diogenes Financial LLC
    2510 6TH AVE UNIT 3004
    Seattle, WA 98121

    Investment Advisory Agreement

    I, , [hereinafter “Client”] hereby appoint Diogenes Financial LLC [hereinafter “Advisory”] to provide investment advisory services for Client’s account(s) [hereinafter “Account”]according to the following terms and conditions of this agreement [hereinafter “Agreement”].

    1. Services requested- Advisory is to provide the service selected below for the Client.

    If Client selects “Financial Consultation”, Advisory offers services of: investment analysis, retirement planning, cash and debt management, employee benefits, tax strategy, and estate and education planning.

    Client will receive a plan for each item selected:

    The term of this Agreement for financial planning and consultations will be for 364 days, and any further reviews may be performed in another contractual engagement with Client.

    2. Fees and expenses-

    Client will be responsible for above fees payable to the Advisory; fees for consultations and hourly services will be invoiced after work is completed. Accepted forms of payment for consultations and hourly services include bank transfers, checks, and Zelle. Client will be responsible for all account and transaction fees, which may include commissions, account fees, custodian fees, transfer fees, and other normal and special occasion fees. In case the Agreement is terminated or work is not performed, all overpaid or underpaid fees will be prorated to the amount of time services were performed based on the terms of the Agreement and settled between the parties within 30 days. The flat-rate fee is assuming an average workload of 3 hours for a financial plan at $160 per hour. If Client’s plan will be estimated to take significantly more work and Advisory is unable to provide service at the flat-rate fee, then Advisory will notify Client before any work begins, and Client will have the right to terminate this Agreement if they desire. If the service provided does not meet the required hourly threshold, the amount due will be reduced according to the service that was completed and any unearned fee will be refunded to Client. Advisory will not be compensated on the basis of a share of capital gains upon or capital appreciation of the funds or any portion of the funds of the Client except as permitted under WAC 460-24A-150.

    3. Fiduciary Duty- As a fiduciary advisory, the Advisory owes the Client a fiduciary duty to put the Client’s interest first, which includes, but is not limited to, a duty of care, loyalty, obedience, and utmost good faith.

    4. Conflict of Interest- The Advisory must disclose conflicts of interest prior to executing related transactions.

    5.Term- For financial planning and consultations, the term of this Agreement will be for 364 days, and any further reviews may be performed in another contractual engagement with the Client.

    6. Termination- Either party may terminate the Agreement without penalty with a written request with 30 days notice of the date of termination. Overpaid or underpaid fees will be pro-rated based on the terms stated. Clients reserve the right to terminate the Agreement within 5 business days of its signing without penalty if not presented with a brochure at least 48 hours prior to signing the Agreement. Following any termination of this Agreement, the investment advisory relationship between Advisory and Client will end. Client assumes responsibility for all Account assets, and Advisory will have no further service obligations. Client will be responsible for any transactions initiated prior to termination and will remain liable to Advisory for payment of fees; this pertains to services after the initial 5 business days that the client enters into the contractual engagement.

    7. Revisions- Advisory must obtain Client's written consent in order to revise any material terms of the Agreement.

    8. Disclosure- Advisory must deliver the Form ADV Part 2A Brochure required by WAC 460-24A-145 to an advisory Client not less than forty-eight hours prior to entering into this Agreement with Client. Client acknowledges receipt of the Advisory’s Form ADV Part 2A Brochure containing all necessary information regarding the Advisory’s services and fees and the Advisory’s Form ADV Part 2B Brochure Supplement. If the brochure is provided at the time of entering into any this Agreement, Client has a right to terminate this Agreement without penalty within five business days after entering into the Agreement. This Agreement is considered entered into when all parties have signed the Agreement, or otherwise signified acceptance.

    9. Electronic Documents- All required documents specified in WAC 460-24A-145 will be provided via electronic delivery unless specified otherwise by Client. Client can opt to receive paper documentation by submitting a written request via email or US Postal Service mail to the Advisory corporate address at any time. Advisory prefers email for all communication to ensure a written record with the quickest delivery.

    10. Governing Law- To the extent federal law does not apply to this Agreement, it shall be

    construed in accordance with the laws of the state of Washington.

    11. Liability- This Agreement does not waive any Client legal rights. For Clients residing in Washington, this Agreement does not waive or limit compliance with, or require indemnification for any violations of, any provision of the Securities Act of Washington, chapter 21.20 RCW, or the rules adopted thereunder.

    12. Risk Acknowledgment- All investments carry risk and can lose value. Past performance is not a guarantee of future success. Client acknowledges that their Account may lose value, and there is no assurance that they will profit from any investment, despite the Advisory’s best efforts.

    13. Client Representations- Client is a natural person who is a USA citizen or a resident, is at least 18 years old, and is not on a governmental list of prohibited individuals. Client information provided to Advisory is current, accurate, and truthful. Client agrees to notify Advisory in writing via email or mailed letter of any change to the information provided within thirty days of a change. Client agrees to hold Advisory harmless for any and all loss, liability, tax, penalty, action, damage, expense, or fee of any nature, and to indemnify Advisory for any losses arising from Client’s failure to provide information that is current, accurate, and truthful.

    Nothing in this Agreement may be interpreted to limit or modify the investment adviser’s fiduciary duties to its Clients and nothing in this Agreement shall be deemed a waiver of any right or remedy that a Client may have under federal or state securities laws. Federal and state securities laws impose liabilities under certain circumstances on persons who act in good faith.

    14. Confidentiality- Except as required by law, Advisory will keep confidential all information concerning Client’s identity, financial affairs, or investments. No third parties will be given access to Client information unless Advisory is legally compelled to do so, or Client grants permission upon request.

    15. Force Majeure- Neither Client nor Advisory shall be responsible to the other for delays, errors, or breach of this Agreement occurring solely by circumstances beyond control of the Client or Advisory, including acts of civil or military authority, emergencies, fire, pandemic, extreme weather, acts of God, insurrection, war, riots, or failure of infrastructure.

    16. Severability- Any term or provision of this Agreement which is invalid or unenforceable in any jurisdiction shall not render invalid or unenforceable the remaining terms or provisions of this Agreement.

    17. Electronic Delivery-

    18. Receipt of required disclosures- I acknowledge that I have received the required disclosure documents Form ADV Part 2("brochure") and the Privacy Policy.


    Each party agrees that this Agreement may be electronically signed, and that any electronic signatures appearing on this Agreement are the same as handwritten signatures for the purposes of validity, enforceability, and admissibility.