CONCEPT #30 OF 100 · Legal, CPA & Financial Advisory · LAYOUT: certificate_broadsheet
Registered Investment Advisor (RIA) Fiduciary AUM Fee Statement & Q4 Invoice
Standard / Reference: Investment Advisers Act of 1940 · SEC Rule 206(4)-2 Custody Fee Itemization · Fiduciary Oath
Why professionals use this template: Independent RIAs required by state/SEC custody rules to send itemized quarterly fee invoices showing exact average daily AUM, tiered basis-point breakpoints, and custodian deduction authorization.
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Included Financial Metrics & Line-Item Schedule
Target Roles: Registered Investment Advisors (RIAs), CFP® Planners & Family Offices · Search Keywords: ria wealth management advisory fee invoice and tiered aum schedule pdf, fiduciary investment advisory fee statement, custodian direct fee deduction notice, form adv part 2a fee calculation
BILLABLE Q4 PORTFOLIO AUM
$2,450,000.00
BLENDED ANNUALIZED RATE
0.694% (69.4 BPS)
DAYS IN BILLING QUARTER
92 / 365 Days (Q4)
QUARTERLY FEE DEDUCTION
$4,284.25 (SCHWAB)
| CODE | DESCRIPTION & TECHNICAL SPECIFICATION | BASIS / QTY | AMOUNT / DELTA |
|---|---|---|---|
| TIER-01 | First $1,000,000 of Managed Household Assets @ 0.85% Annualized (92/365 Days Prorated) | $1,000,000 Tier | $2,142.47 |
| TIER-02 | Next $1,450,000 of Managed Household Assets ($1M–$3M Tier) @ 0.60% Annualized | $1,450,000 Tier | $2,192.88 |
| TAX-LOSS | Q4 Automated Tax-Loss Harvesting & Municipal Bond Ladder Rebalancing (Included $0) | $14,200 Tax Alpha | INCLUDED |
| LOY-CRD | Founding Client Relationship Fee Credit Applied to Custodian Debited Total | Fee Adjustment | -$51.10 |
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