INVESTMENT ADVISORY ACCOUNT APPLICATION
You may apply for an account online by completing the form below and filling in all required (*) fields. You can also print out and fax us your application by clicking here.
Account Title:*
User Name:*
 Password:*
 Confirm Password:*
Must be "8" characters Must be at least "6" characters long    
Section 1: Account Type (required)
  Individual   IRA Type:   Pension
  Joint with Rights of Survivorship   Trust   Other:
  Custodian (Use Minor’s SS#)   Corporation      
Section 2: Applicant Information (required)
First Name:*   Last Name:
Address:*
City:*  
State:* Zip:*  
Main Phone:*   Fax:
Home Phone:   Mobile Phone:
Social Security Number:*   Email Address:*
US Citizen:*
Yes No


  Date of Birth :* / /
If you answered yes, please skip to section 3. If you answered no, please complete the following.
Country of Citizenship:      
Are you a permanent US citizen?
Yes


  If yes, Alien Reg. Number:
 
No


  If no, indicate Visa type:
You must also provide a signed letter explaining why you have a US address and Social Security Number.
Occupation: Employed (Please specify occupation)
 
Self-Employed Unemployed Retired Homemaker Student
Employer:
Employer Address:
Section 3: Co-Applicant Information (optional)
First Name:   Last Name:
Address:
City:  
State: Zip:  
Main Phone:   Fax:
Home Phone:   Mobile Phone:
Social Security Number:   Email Address:
US Citizen:
Yes No


  Date of Birth :* / /
If you answered yes, please skip to section 4. If you answered no, please complete the following.
Country of Citizenship:      
Are you a permanent US citizen?
Yes


  If yes, Alien Reg. Number:
 
No


  If no, indicate Visa type:
You must also provide a signed letter explaining why you have a US address and Social Security Number.
Occupation: Employed (Please specify occupation)
 
Self-Employed Unemployed Retired Homemaker Student
Employer:
Employer Address:
Section 4: Affiliate Information (required)
Please Answer the Following:*  
Yes No


Is any applicant employed by or affiliated with a securities firm, a securities exchange or the NASD?
Yes No


Is any applicant a “control person” or “affiliate” of a public company as defined by the SEC?
Yes No


Is any applicant or member of immediate family or business associate a senior foreign political official?
Section 5: Information Signatures (required)

BY SIGNING THIS AGREEMENT I AGREE THAT ALL INFORMATION PROVIDED ABOVE IS FACTUAL AND TRUE, AND WITHOUT ANY INTENTIONAL OMISSION OR ALTERATION.
Applicant* Date* Co-Applicant Date
Section 6: Investment Advisory Client Agreement

This investment advisory agreement is between SAFE Management, LLC ("advisor") and the managed account client ("client"). Client wishes to retain advisor to act as client's investment advisor in accordance with the terms and conditions of this agreement. This agreement is intended to outline the responsibilities of the parties with regard to the investment management services to be provided by advisor.

  1. We will give you the benefit of our continuing study of economic conditions, security markets and other investment issues. On the basis of these studies, we shall provide advice from time to time regarding the allocation of your assets, including the specific allocation of mutual funds and other appropriate investments.


    2.
  2. We will recommend that you establish and/or maintain, in your name, accounts into which you shall deposit funds and/or securities, which shall be referred to as, managed assets.


    3.
  3. You may at any time increase or decrease your managed assets. Your account(s) will, at all times, be held solely in your name and will require your authorization for withdrawal.


  4. You will receive statements directly from your brokers, mutual funds, or others as appropriate. Advisor does not prepare regular client reports.


  5. You agree to pay advisor an annual fee of 3% (three percent) for managing your account (s). The fee will be prorated payable monthly. Client agrees to have the advisor's fee withdrawn directly from client accounts. Acknowledgement of this agreement will serve as your written authorization to allow such fees to be withdrawn from your account on a monthly basis by the custodian.


  6. You acknowledge that past performance of investments recommended by advisor should not be construed as an indication of future results, which may prove to be better or worse than past results. YOUR INVESTMENTS WILL GO UP OR DOWN, DEPENDING ON A VARIETY OF MARKET FACTORS. We make no promises, guarantees or warranties that any of our services will result in a profit to you. You may rely on information furnished by us, which is believed to be reasonably accurate and reliable.


    7.
  7. Any controversy or claim arising out of or relating to this agreement, or the breach thereof, shall be settled by arbitration, in accordance with the commercial arbitration rules of the American Arbitration Association, and judgment upon the award rendered by the arbitrator may be entered in any court having jurisdiction thereof.


    8.
  8. This agreement may be modified upon such terms as may be mutually agreed upon in writing. The agreement is terminable by client within 5 business days, without penalty, from the date of acceptance. Any fees paid in advance are refundable on a prorated basis. Either party may terminate this agreement upon written notice. This agreement is not assignable by advisor without the advance written consent of the clients.


    9.
  9. If this agreement is established by you, the undersigned, in a fiduciary capacity, you hereby certify that you are legally empowered to enter in or perform this agreement in such capacity. If this agreement is established by a corporation, the undersigned certifies that the agreement has been duly authorized, executed and delivered on behalf of such corporation and that the agreement is a validly certified copy of a resolution of the Board of Directors of the corporation to that effect and authorizing the appropriate officers of the corporation to act on its behalf in connection with this agreement.


    10.
  10. Any information provided by client shall be treated as confidential and handled in accordance with SAFE Management LLC’s privacy policy. Acknowledgement of this agreement will serve as written acceptance of the privacy policy enclosed herein.


    11.
  11. This agreement shall be governed by the laws of New Jersey. This agreement contains all the understanding of the parties as to this agreement.


    12.
  12. Client certifies that the social security number (or tax ID number) set forth on the Advisory Application is correct and that client is not subject to "backup withholding" under section 340(a)(1)(C) of the Internal Revenue Code or any successor provision.


  13. Client certifies that all information set forth on the Advisory Application is correct and that this information will establish the client’s managed account.
Section 7: Privacy Policy
 
Your Privacy is Important to SAFE Management, LLC

In the course of serving you as an individual client or as someone associated with a corporate or institutional client, SAFE Management LLC may obtain personal information about you. Obtaining this information is important to our ability to deliver the highest level of service to you, but we also recognize that you expect us to treat this information appropriately.

This policy describes the types of personal information we may collect about you, the purposes for which we use the information, the circumstances in which we may share the information and the steps that we take to safeguard the information to protect your
privacy. As used throughout this policy, the term SAFE Management, LLC refers to SAFE Management LLC, Secure Acquisition Financial Entity LP, SAFE Folios LP and its affiliates worldwide.

The Information We Have About You

If you deal with SAFE Management, LLC your individual capacity (e.g. as a private client), or as a settler/trustee/beneficiary of a trust, or as an owner or principal of a company or other investment vehicle established to invest on your behalf or on behalf of your family, etc., the typical information we collect about you would include:
  • Your name, address and other contact details;

  • Your age, occupation and marital status;

  • Extensive financial information, including source of wealth, investment experience and objectives, risk tolerance and, in certain jurisdictions, representations required under applicable law or regulation concerning your financial resources;

  • A head and shoulders photograph from, as applicable, your passport, national identity card or driver's license, as required by laws and regulations addressing due diligence and related matters; and

  • A personal identifier such as, depending on your country of residence, your Social Security Number, National

  • Insurance Number, Tax File Number, etc.
If you are an employee/officer/director/principal, etc. of one of our corporate or institutional clients, the typical information we collect about you personally would include:
  • Your name and contact details;

  • Your role/position/title and area of responsibility;

  • Certain identifying information (e.g. passport photo, etc.) as required by laws and regulations addressing money laundering and related matters.
Of course, you are not required to supply any of the personal information that we may request. However, failure to do so may result in our being unable to open or maintain your account or to provide services to you. While we make every effort to ensure that all information we hold about you is accurate, complete and up to date, you can help us considerably in this regard by promptly notifying us if there are any changes to your personal information.

Our Use of Your Personal Information

We may use your personal information to:
  • Administer, operate, facilitate and manage your relationship and/or account with SAFE Management LLC. This may include sharing such information internally as well as disclosing it to third parties, as described in the following two sections, respectively;

  • Contact you or, if applicable, your designated representative(s) by post, telephone, electronic mail, facsimile, etc., in connection with your relationship and/or account;

  • Provide you with information (such as investment research), recommendations, or advice concerning products and services offered by SAFE Management LLC; and

  • Facilitate our internal business operations, including assessing and managing risk and fulfilling our legal and regulatory requirements.
If your relationship with SAFE Management, LLC ends, SAFE Management, LLC will continue to treat your personal information, to the extent we retain it, as described in this policy.

Disclosures of Your Personal Information within SAFE Management, LLC

In order to provide efficient and reliable services and to improve product and service options available to you, more than one entity within SAFE Management, LLC may be given, or given access to, your personal information. For example, one SAFE Management, LLC entity might share your information with another in order to facilitate settlement of your transactions or the maintenance of your accounts, or as part of its arranging for the performance of specialized services such as US and international brokerage, asset management and advisory and trust services. When so sharing your personal information, we adhere to applicable legal and industry standards regarding the protection of personal information.

Disclosures of Your Personal Information to Third Parties

SAFE Management, LLC does not disclose your personal information to third parties, except as described in this policy. Third party disclosures may include sharing such information with nonaffiliated companies that perform support services for your account or facilitate your transactions with SAFE Management, LLC, including those that provide professional, legal or accounting advice to SAFE Management, LLC. Non-affiliated companies that assist SAFE Management, LLC in providing services to you are required to maintain the confidentiality of such information to the extent they receive it and to use your personal information only in the course of providing such services and only for the purposes that SAFE Management, LLC dictates.

We may also disclose your personal information to fulfill your instructions, to protect our rights and interests and those of our business partners or pursuant to your express consent. Finally, under limited circumstances, your personal information may be disclosed to third parties as permitted by, or to comply with, applicable laws and regulations; for instance, when responding to a subpoena or similar legal process, to protect against fraud and to otherwise cooperate with law enforcement or regulatory authorities or with organizations such as exchanges and clearinghouses.

Privacy and The Internet

The following additional information will be of interest to you if you access SAFE Management, LLC products or services through one or more SAFE Management, LLC Web sites:
  • Users of private SAFE Management, LLC Web sites are required to identify and authenticate themselves prior to accessing our services. Generally, identification and authentication take place through the use of your user name and a password.


  • SAFE Management, LLC Web sites is built upon a secure infrastructure with multiple layers of protection, including measures ranging from proper physical security of our machines to system intrusion detection capabilities. Within such private sites, SAFE Management, LLC uses industry standard encryption technologies to protect your information from external compromise.


  • Security is a cooperative effort between SAFE Management, LLC and the users of the SAFE Management, LLC Web sites. Please remember that your username and password are personal to you and should not be made available to any other person. Also, you should discontinue their use and notify us if you have any reason to suspect that someone else may be using them.


  • "Cookies" are small text files consisting of information stored by your Web browser. This information is used for administrative purposes and to improve your experience with our Web sites. For example, this information helps authenticate you (i.e. verify that you are who you say you are), an essential component of site security. Cookies also make it easier for you to navigate SAFE Management, LLC Web site by, among other things, "remembering" your identity so that you do not have to input your password multiple times as you move between pages or services. You can set your Web browser to inform you when cookies are set, or to prevent cookies from being set. However, if you decline to use cookies, you may experience reduced functionality, and declining to use authentication related cookies will prevent you from using the Web site altogether.
This policy provides a general statement of the ways in which SAFE Management, LLC, protects your personal information. This policy may be changed from time to time to reflect changes in our practices concerning the collection and use of personal information. This version of our Privacy Policy is effective as of June 1st, 2008.
 
Section 8: Agreement Signatures (required)

BY SIGNING THIS AGREEMENT I ACKNOWLEDGE THAT I HAVE RECEIVED, READ AND AGREE TO ABIDE BY THE TERMS OF THE ABOVE INVESTMENT ADVISORY CLIENT AGREEMENT & PRIVACY POLICY.
Applicant* Date* Co-Applicant Date