Rhode Island Distribution Agreement between Ingenuity Capital Management, LLC and Daugherty Capital Markets Introduction: A Rhode Island Distribution Agreement is a legally binding contract between two parties, Ingenuity Capital Management, LLC (ICM) and Daugherty Capital Markets (RCM), outlining the terms and conditions for the distribution of investment products and services in the state of Rhode Island. This agreement aims to establish a mutually beneficial relationship and ensure compliance with all relevant regulations within the state. Key Terms and Conditions: 1. Distribution Rights: This agreement grants RCM the exclusive right to distribute ICM's investment products and services in Rhode Island. These products may include mutual funds, exchange-traded funds (ETFs), money market funds, and other financial instruments specifically mentioned in the agreement. 2. Territory and Duration: The territory covered by this agreement is limited to the state of Rhode Island. The duration of the agreement can be explicitly stated, typically ranging from one to five years. Both parties may agree to renew the agreement upon its expiration. 3. Responsibilities of ICM: a. Product Availability: ICM commits to making the agreed-upon investment products and services available to RCM for distribution within Rhode Island. b. Marketing Support: ICM agrees to provide RCM with suitable marketing materials, literature, prospectuses, and any necessary regulatory documentation to promote and distribute the investment products effectively. c. Compliance with Regulations: ICM acknowledges its responsibility to comply with all applicable state and federal laws, including those specific to Rhode Island. 4. Responsibilities of RCM: a. Distribution Efforts: RCM agrees to use its best efforts to actively promote, market, and distribute ICM's investment products and services within Rhode Island. b. Training and Education: RCM will ensure its representatives are adequately trained and knowledgeable about ICM's products and their features, enabling them to provide accurate information to clients. c. Reporting: RCM will provide periodic reports to ICM regarding sales activities, client feedback, and other relevant information as mutually agreed. Types of Rhode Island Distribution Agreements between ICM and RCM: 1. Mutual Fund Distribution Agreement: This type of agreement specifically focuses on the distribution of ICM's mutual funds within Rhode Island. It outlines the terms and conditions unique to this investment product. 2. ETF Distribution Agreement: Similar to the mutual fund agreement, this type of distribution agreement focuses on the distribution of ICM's exchange-traded funds within Rhode Island. It may have specific provisions related to ETF trading and reporting requirements. 3. Comprehensive Distribution Agreement: This agreement encompasses the distribution of all investment products and services offered by ICM within Rhode Island. It covers multiple investment vehicles, such as mutual funds, ETFs, and money market funds. Conclusion: A Rhode Island Distribution Agreement between Ingenuity Capital Management, LLC and Daugherty Capital Markets serves as a contract that establishes a legal framework for the distribution of ICM's investment products and services within Rhode Island. By outlining the rights and responsibilities of each party, this agreement ensures compliance with regulations, maximizes distribution efforts, and strengthens the collaborative relationship between the two organizations.
Rhode Island Distribution Agreement between Ingenuity Capital Management, LLC and Rafferty Capital Markets
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