Sentences with phrase «act as an investment advisor»

The Arbor Investment Planner does not act as an investment advisor, or advocate the purchase or sale of any security or investment.

Meridian Capital Group acted as investment advisor and mortgage broker for HGI, including the placement of approximately $ 512 million of fixed - rate debt with New York Community Bank.

Not exact matches

That's why McWhirter believes even the savviest entrepreneur can benefit from an advisor who acts as a coach to make sure that his investment strategy stays on track.

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

As highlighted in the Final Regulatory Flexibility Act Analysis for the Fiduciary Rule, 96.2, 97.3, and 99.3 percent of BDs, Registered Investment Advisors, and Insurers respectively are estimated to meet the SBAs definition of small business.

One key to DFA's growth so far is that it is working with a number of large advisors like Loring Ward, who act as TAMPs, offering a suite of retirement plan services (like recordkeeping, investment advice and DFA funds) to smaller advisors.

As one of the largest independent Registered Investment Advisors in the country, we remain unbiased and independent, ensuring that we act in your best interests.

Further, the final rule defines a variety of investment education activities that fall short of fiduciary conduct, and makes clear that advisors do not act as fiduciaries merely by recommending that a customer hire them to render advisory or asset management services.

Under the Employee Retirement Income Security Act, a fiduciary investment advisor is defined as one who «renders investment advice for a fee or other compensation.»

BofA Merrill Lynch and UBS Investment Bank acted as lead financial advisors to Alaska Airlines on the transaction.

Equity Partners HG acted as investment banker and advisor to Blissfield Manufacturing in its sale to BMG Global.

It mandates that all who serve as fiduciaries — broker - dealers, investment advisors, insurance agents and the like — must act in the best interest of their clients.

HVS Hodges Ward Elliott acts as broker and investment advisor in European hotel real estate markets, and focuses on disposition advisory services.

Los Angeles, CA — July 27, 2015 — First Beverage Financial, the investment banking arm of First Beverage Group, today announced that it acted as the financial advisor to Firestone Walker Brewing Company in its agreement with Duvel Moortgat to combine the two companies in the USA.

«As comptroller, Eliot will use the power of our public investments to make Wall Street act fairly, protecting retirement security for New York's working families,» reads an email announcing the ad to supporters from senior campaign advisor Miriam Hess.

Joining the Kering Group in 2004, Claquin acted as advisor to Francois - Henri Pinault's family investment arm Artemis, before becoming the group's senior vice president of communications.

We do not recommend that anyone act upon any investment information without first consulting an investment advisor as to the suitability of such investments for his specific situation.

Form ADV Part 2 acts as a disclosure document for clients of the business and includes information such as advisory services offered, advisor's fee schedule, whether the investment advisor acts as a broker - dealer and transacts securities, disciplinary information, and conflicts of interest.

Meanwhile, the investment industry commonly calls their salespersons «financial advisors» even if they are not registered to act as advisors.

(b) engaged as an «investment advisor» as that term is defined in Section 201 (11) of the Investment Advisor's Act of 1940 (whether or not registered or qualified under that Act), nor (c) employed by a bank or other organization exempt from registration under Federal and / or state securities laws to perform functions that would require him or her to be so registered or qualified if he or she were to perform such functions for an organization not investment advisor» as that term is defined in Section 201 (11) of the Investment Advisor's Act of 1940 (whether or not registered or qualified under that Act), nor (c) employed by a bank or other organization exempt from registration under Federal and / or state securities laws to perform functions that would require him or her to be so registered or qualified if he or she were to perform such functions for an organization not Investment Advisor's Act of 1940 (whether or not registered or qualified under that Act), nor (c) employed by a bank or other organization exempt from registration under Federal and / or state securities laws to perform functions that would require him or her to be so registered or qualified if he or she were to perform such functions for an organization not so exempt.

You agree to promptly notify ChoiceTrade in writing if you are now or if you become: (a) registered or qualified with the Securities Exchange Commission, the Commodities Futures Trading Commission, any state securities agency, any securities exchange or association, or any commodities or futures contract market or association; (b) engaged as a «registered investment adviser» within the meaning of Section 201 (11) of the Investment Advisors Act of 1940 (whether or not registered or qualified under that act); or (c) employed by a bank or other organization exempt from registration under federal and / or state securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not investment adviser» within the meaning of Section 201 (11) of the Investment Advisors Act of 1940 (whether or not registered or qualified under that act); or (c) employed by a bank or other organization exempt from registration under federal and / or state securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not Investment Advisors Act of 1940 (whether or not registered or qualified under that act); or (c) employed by a bank or other organization exempt from registration under federal and / or state securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not so exemAct of 1940 (whether or not registered or qualified under that act); or (c) employed by a bank or other organization exempt from registration under federal and / or state securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not so exemact); or (c) employed by a bank or other organization exempt from registration under federal and / or state securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not so exempt.

The Funds were founded by Kornitzer Capital Management (KCM), an investment management firm founded in 1989 which continues to act as advisor to the Funds.

Wells, who was disciplined in 2010 by the Investment Industry Regulatory Organization of Canada for acting in the role of an advisor without being registered as one, considers his firm a private debt lender.

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

The Buffalo Funds are managed by Kornitzer Capital Management, an investment management firm founded in 1989, which continues to act as advisor to the Funds.

Acted as lead counsel for shareholders of leveraged, tax - exempt bond funds in actions under the Investment Company Act against investmentInvestment Company Act against investmentinvestment advisors.

The Integrites acted as a legal advisor to Dragon Capital Investments Limited, a member of the Dragon Capital group of companies, on the

As such, they would be subject to onerous obligations under the Investment Company Act, such as registering with the SEC as an «investment company» or qualifying for an exemption from registration, conforming to a narrow set of allowable governance structures, and registering the individual with ultimate discretion over investment decisions as an investment advisoAs such, they would be subject to onerous obligations under the Investment Company Act, such as registering with the SEC as an «investment company» or qualifying for an exemption from registration, conforming to a narrow set of allowable governance structures, and registering the individual with ultimate discretion over investment decisions as an investmenInvestment Company Act, such as registering with the SEC as an «investment company» or qualifying for an exemption from registration, conforming to a narrow set of allowable governance structures, and registering the individual with ultimate discretion over investment decisions as an investment advisoas registering with the SEC as an «investment company» or qualifying for an exemption from registration, conforming to a narrow set of allowable governance structures, and registering the individual with ultimate discretion over investment decisions as an investment advisoas an «investment company» or qualifying for an exemption from registration, conforming to a narrow set of allowable governance structures, and registering the individual with ultimate discretion over investment decisions as an investmeninvestment company» or qualifying for an exemption from registration, conforming to a narrow set of allowable governance structures, and registering the individual with ultimate discretion over investment decisions as an investmeninvestment decisions as an investment advisoas an investmentinvestment advisor.

It would be like having an accountant acting as your stock market investment advisor; it's simply the wrong specialist handling the wrong specialty.

The Integrites acted as a legal advisor to Dragon Capital Investments Limited, a member of the Dragon Capital group of companies, on the acquisition of stakes in two large logistics centres nearby Kyiv, Ukraine.

A broker dealer «facilitates investment transactions» and «can act as advisors to help you decide which investments to purchase, and which to sell,» usually work on commission, and act under a suitability standard.

Goldman Sachs Investment Banking Division and Nomura Securities International, Inc., acted as financial advisors on the transaction.

Additionally, the Fund Manager, Canopy South Capital Management, LLC, is not registered as an investment advisor under the Investment Advisors Acinvestment advisor under the Investment Advisors AcInvestment Advisors Act of 1940.

Inc. and UBS Investment Bank acted as financial advisors; Latham & Watkins LLP, Foley & Lardner LLP and DLA Piper provided legal advice.