A Nevada Distribution Agreement is a legal contract that outlines the terms and conditions for the distribution of investment products between Ingenuity Capital Management, LLC and Daugherty Capital Markets, both established financial firms. This agreement is specifically tailored for operations within the state of Nevada. The primary purpose of this distribution agreement is to establish a framework for the sale and distribution of investment products managed by Ingenuity Capital Management, LLC through the intermediation services of Daugherty Capital Markets. This agreement ensures compliance with Nevada state laws and regulations pertaining to the distribution of investment products, giving both parties a clear understanding of their roles and responsibilities. Key terms and provisions included in the Nevada Distribution Agreement may encompass: 1. Parties: Clearly identifying Ingenuity Capital Management, LLC as the product manager and Daugherty Capital Markets as the distributor. The agreement may also specify their respective roles, obligations, and representations. 2. Scope of Distribution: Defining the specific investment products or funds that will be distributed and sold within Nevada. This could include mutual funds, exchange-traded funds (ETFs), or other managed investment products offered by Ingenuity Capital Management, LLC. 3. Exclusivity: If applicable, the agreement might establish whether Daugherty Capital Markets has exclusive distribution rights for the defined investment products within Nevada or if other distribution channels can be utilized concurrently. 4. Sales Targets and Quotas: Setting out any sales targets, fundraising goals, or performance thresholds that Daugherty Capital Markets is expected to achieve within a specified timeframe. 5. Marketing and Advertising: Outlining the marketing and advertising guidelines and requirements for promoting the investment products, ensuring that they comply with Nevada state regulations and industry best practices. 6. Compensation and Fees: Describing the compensation structure for Daugherty Capital Markets, which may include sales commissions, management fees, or other financial arrangements agreed upon by both parties. 7. Reporting and Record keeping: Stipulating the frequency and format of financial reports, account statements, and other documentation that Daugherty Capital Markets must provide to Ingenuity Capital Management, LLC to maintain transparency and accountability. 8. Compliance and Legal Obligations: Outlining the compliance requirements that both parties must adhere to, including anti-money laundering (AML) and know your customer (KYC) procedures, as mandated by Nevada state laws and relevant securities regulators. Different types of Nevada Distribution Agreements between Ingenuity Capital Management, LLC and Daugherty Capital Markets may exist, depending on factors such as the specific investment products involved, the duration of the agreement, or any additional unique terms negotiated by the parties. However, the general framework highlighted above is typically found in such agreements to ensure clarity, legality, and effective distribution of investment products in Nevada.
Nevada Distribution Agreement between Ingenuity Capital Management, LLC and Rafferty Capital Markets
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