Sentences with phrase «imco as an investment adviser»

Qualities such as discipline and a willingness to stay the course are far more important, as the investment adviser world is «basically a world of attrition.»

Today, LearnVest, which is based in New York City, announced that it has completed registration with the SEC as an investment adviser.

Hilliard draws upon extensive research as well as his own direct experience as an investment adviser to paint a cogent and completely believable «bust» scenario for Canadian real estate.

(The website of the company she started offers to trade on behalf of clients; neither Ms. Berwick nor the firm is registered as an investment adviser with the Securities and Exchange Commission or the Financial Industry Regulatory Authority.)

Provided by the Financial Industry Regulatory Authority (FINRA), BrokerCheck is a free tool to help investors research the professional backgrounds of current and former FINRA - registered brokerage firms and brokers, as well as investment adviser firms and representatives.

John Grazioli is still registered as an investment adviser with the department and the federal Securities and Exchange Commission, according to the department and SEC records.

GHP Investment Advisors, Inc. is registered as an investment adviser with the United States Securities and Exchange Commission, and its investment advisory representatives are licensed by the state of Colorado.

FMD Capital Management, LLC (FMD) is registered as an investment adviser with the California Department of Corporations.

New Energy Capital Partners, LLC is registered as an investment adviser with the U.S. securities and Exchange Commission.

Kalvoda said families should consider setting up a separate entity for these co-investments as she did to make sure their entire family offices aren't forced to register as investment advisers and therefore reveal financial details.

Trading authorization: A power of authority given to someone outside the firm, such as an investment adviser.

Jim Yih is a financial educator who chucked his career as an investment adviser to help companies make their employees smarter about pension plans and other money matters.

Hartford Funds refers to Hartford Funds Management Group, Inc., and its subsidiaries, including the mutual funds», ETMFs» and active ETFs» investment manager, Hartford Funds Management Company, LLC (HFMC), the mutual funds» distributor, Hartford Funds Distributors, LLC, Member FINRA, as well as Lattice Strategies LLC, a wholly owned subsidiary of HFMC, which serves as the investment adviser to strategic beta exchange - traded funds (ETFs).

Yes, all SoFi Wealth Financial Advisors are registered as investment adviser representatives and hold the Series 65 or another qualifying examination or designation.

Hartford Funds refers to Hartford Funds Management Group, Inc., and its subsidiaries, including the mutual funds» and active ETFs» investment manager, Hartford Funds Management Company, LLC (HFMC), the mutual funds» distributor, Hartford Funds Distributors, LLC (HFD), Member FINRA / SIPC as well as Lattice Strategies LLC (Lattice), a wholly owned subsidiary of HFMC, which serves as the investment adviser to strategic beta exchange - traded funds (ETFs).

* Principal Global Investors Trust Company serves as the Trustee to several CITs and has retained Morley Capital Management to serve as investment adviser, subject to the Trustee's control, supervision and review.

January 31, 2017 Wintergreen Advisers, LLC serves as investment adviser to clients who have collectively owned more than 10 % of Consolidated - Tomoka Land Co.'s («CTO», NYSE: CTO) shares since 2006, and who currently own more than 27.1 % of CTO's shares.

While the Investment Manager is registered with the SEC as an investment adviser, it does not comply with the Advisers Act with regard to its non-U.S. clients.

bots acting as investment adviser and helping build portfolio.

BNY Mellon's Dreyfus Corporation serves as the investment adviser of the Fund and Newton Investment Management (North America) Limited («Newton») serves as the Fund's sub-investment adviser.

Hartford Funds refers to Hartford Funds Management Group, Inc., and its subsidiaries, including the mutual funds» and active ETFs» investment manager, Hartford Funds Management Company, LLC (HFMC), the mutual funds» distributor, Hartford Funds Distributors, LLC, Member FINRA, as well as Lattice Strategies LLC, a wholly owned subsidiary of HFMC, which serves as the investment adviser to strategic beta exchange - traded funds (ETFs).

As any investment adviser will tell you, bonds should still be part of a diversified investment portfolio and can lead to significant tax advantages and returns if invested in wisely.

As an investment adviser, for a time horizon of 3 years, I don't advise my clients to invest in equity or equity mutual funds.

Swell serves as your investment adviser and fiduciary, which is an important distinction.

The Manager is a Delaware limited liability company and is registered with the Securities and Exchange Commission as an investment adviser.

The Manager serves as investment adviser to the Allocation Fund.

The Manager serves as investment adviser to the Fairholme Fund.

Wealthsimple US, Ltd. is registered as an investment adviser under the Investment Advisers Act of 1940 and uses Apex Clearing Corporation as broker / dealer for Wealthsimple investment accounts.

Based in Parsippany, New Jersey, the firm manages approximately $ 170 million and is registered as a commodity trading advisor and commodity pool operator with the U.S. Commodity Futures Trading Commission and is a member of the National Futures Association, as well as being registered as an investment adviser with the U.S. Securities and Exchange Commission.

If you can't predict what's going to happen in the future, then your only value to clients as an investment adviser is to be a passive asset allocator (because the only other two ways of managing money - security selection and market timing, both depend on being able to predict the future).

4 HSBC Global Asset Management (USA) Inc. serves as the investment adviser to the HSBC Funds.

The Adviser is registered with the SEC as an investment adviser under the Investment Advisers Act of 1940, as amended.

As an investment adviser earning $ 85,000 annually, he had to make some choices.

Author's Disclaimer: Working for and as an investment adviser, I am aware of the regulatory expectations and requirements of disclosure.

AXA Equitable Funds Management Group, LLC (FMG LLC), doing business as 1290 Asset Managers, serves as investment adviser to the 1290 Funds.

Emerging Global Advisors acts as the investment adviser to the EGShares Funds.

The investment adviser and its affiliates have agreed to maintain the «net operating expenses» of each of the funds (including shareholder servicing fees and acquired fund fees and expenses, but excluding interest, taxes and certain non-routine expenses) at [X.XX %] for Investor Shares and [X.XX %] for Institutional Shares for so long as the investment adviser serves as adviser to the funds.

The investment adviser and its affiliates have agreed to limit the total annual fund operating expenses (excluding interest, taxes and certain non-routine expenses) of the fund to 0.00 % for so long as the investment adviser serves as the adviser to the fund.

Shtaif hired Bokserman as an investment adviser to help find investors.

For distributing NPS, they have to be certified by the Pension Fund Regulatory and Development Authority (PFRDA), and for selling financial products regulated by the Securities and Exchange Board of India (Sebi), they necessarily have to obtain registration as investment advisers under the Securities and Exchange Board of India (Investment Advisers) Regulations, 2013.

Pros and cons of electing to, or not to, register as an investment adviser (or claiming an exemption therefrom).

Not exact matches

Among the wave of financial technology companies attempting to challenge the hegemony of Canada's Big Five banks are «robo - advisers,» such as Wealthsimple and WealthBar, whose platforms help clients create and maintain portfolios of mostly passive investments, such as exchange - traded funds, for fees in the neighbourhood of 1 % of assets per year.

Doug New is a partner at Fasken Martineau but earlier in his career served as a special adviser to the deputy commissioner of the Foreign Investment Review Agency.

«These companies are moving out of Asia and coming to Africa to save labor costs,» said Fitsum Arega, who recently stepped down as head of the Ethiopian Investment Commission to become an adviser to the new prime minister.

Page also served as an adviser «on key transactions» for Russia's state - owned energy giant Gazprom before setting up his own energy investment fund, Global Energy Capital, with former Gazprom executive Sergei Yatesenko.

In 2007, he served as a private equity adviser with now - defunct investment bank Lehman Brothers, and more recently as an adviser to Barclays.

Interestingly, Bond Street is rolling out an advisory service for those members, much as a robo - adviser (say, Wealthfront or Betterment) would offer automated advice on asset investments.

As a small corporate finance and alternative investment adviser, Curzon specializes in various industries, from renewable forestry to oil and gas to traded metals.

For more investment advice, consult your financial adviser or go online to sites such as Vanguard, Fidelity, or Schwab for more guidance.

If your adviser is an investment adviser and governed by the federal Securities and Exchange Commission, the adviser serves as fiduciary to you and must put your interests above his own and act in your best interest.