Sentences with phrase «as an investment adviser»

Here, you're getting the goods from someone who put in 12 years as an investment adviser and now spends his time educating people like you about money.

From 1970 to 1998 he worked as an investment adviser and director in various banks.

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

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.

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.

The Chart Guys LLC is not registered as an investment adviser with any federal or state regulatory agency.

bots acting as investment adviser and helping build portfolio.

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.

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.»

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.

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.

Alexander Green retired at age 43 after having made his fortune as an investment adviser, market analyst and portfolio manager.

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.

Digital Investment Adviser (DIA) is an offering within the UMP program, and is exclusively offered by IMCO as an investment adviser and serviced by FAI.

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).

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

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.

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

We have helped numerous clients become registered as investment advisers with the SEC.

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

After receiving a Bachelor of Arts in English from UCLA, John Csiszar earned a Certified Financial Planner designation and served 18 years as an investment adviser.

For Geofrey Greenleaf, the Heartland Institute's conference is an opportunity to gather compelling details to be used against climate change believers during political discussions in the Cleveland area, where he works as an investment adviser.

The redemption fee does not apply to (1) shares purchased through reinvested distributions (dividends and capital gains), (2) shares held in retirement plans (other than IRAs), or (3) shares redeemed through SWPs, but otherwise applies to all investors in the Fund, including those that invest through «omnibus accounts» at intermediaries such as investment advisers, broker - dealers and third - party administrators.

(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.)

AngelList Advisors LLC («AngelList Advisors») intends to form a limited liability company and register as an investment adviser either with the Commission or one or more states.

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.

Lesser number of platforms have imposed a VC / angel investing model and act as investment advisers — for example the oldest and the largest player, AngeList, which enforces carried interest (a share of the profits of an investment) or platforms such asFundersClub, Fundable, OurCrowd, etc..

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

Most venture capital funds are structured as limited partnerships, with the general partner serving as the fund manager (which itself is typically organized as a limited liability company) and acting as the investment adviser to the portfolio companies of the fund (which are usually incorporated as C - 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.

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).

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.

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.

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.