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.
The Adviser is registered with the SEC
as an investment adviser under the Investment Advisers Act of 1940, as amended.
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.
Not exact matches
Highland is an SEC - registered
investment adviser which, together with its affiliates, has approximately $ 13.8 billion in assets
under management
as of December 31, 2017.
a person acting on behalf of a fully managed account managed by that person, if that person (i) is registered or authorized to carry on business
as an
adviser or the equivalent
under the securities legislation of a jurisdiction of Canada or a foreign jurisdiction, and (ii) in Ontario, is purchasing a security that is not a security of an
investment fund,
RIAs are eligible to participate in the Program if they represent to Fidelity
Investments that they meet the following criteria: (1) RIA is an
investment adviser registered and in good standing with the U.S. Securities and Exchange Commission and / or any applicable state securities regulatory authorities or is exempt from such registration; (2) RIA's representatives who provide services to referred clients are appropriately registered / licensed as «Investment Advisers Representatives» in required jurisdictions; (3) RIA charges fee - based, asset - based, or flat - rate investment advisory service fees (which may include hourly fees); (4) RIA will maintain a minimum of $ 350,000,000 in total regulatory assets under management, as reported in response to Item 5 in Part 1A of the RIA's Form ADV, throughout the duration of RIA's participation in the Program; (5) RIA and all associated persons of the RIA who manage client assets or who supervise such associated persons shall at all times be covered through both Errors and Omissions Liability Insurance and Fidelity Bond Coverage; and (6) RIA maintains a minimum of two principals or officers as well as a minimum of five
investment adviser registered and in good standing with the U.S. Securities and Exchange Commission and / or any applicable state securities regulatory authorities or is exempt from such registration; (2) RIA's representatives who provide services to referred clients are appropriately registered / licensed
as «
Investment Advisers Representatives» in required jurisdictions; (3) RIA charges fee - based, asset - based, or flat - rate investment advisory service fees (which may include hourly fees); (4) RIA will maintain a minimum of $ 350,000,000 in total regulatory assets under management, as reported in response to Item 5 in Part 1A of the RIA's Form ADV, throughout the duration of RIA's participation in the Program; (5) RIA and all associated persons of the RIA who manage client assets or who supervise such associated persons shall at all times be covered through both Errors and Omissions Liability Insurance and Fidelity Bond Coverage; and (6) RIA maintains a minimum of two principals or officers as well as a minimum of five
Investment Advisers Representatives» in required jurisdictions; (3) RIA charges fee - based, asset - based, or flat - rate
investment advisory service fees (which may include hourly fees); (4) RIA will maintain a minimum of $ 350,000,000 in total regulatory assets under management, as reported in response to Item 5 in Part 1A of the RIA's Form ADV, throughout the duration of RIA's participation in the Program; (5) RIA and all associated persons of the RIA who manage client assets or who supervise such associated persons shall at all times be covered through both Errors and Omissions Liability Insurance and Fidelity Bond Coverage; and (6) RIA maintains a minimum of two principals or officers as well as a minimum of five
investment advisory service fees (which may include hourly fees); (4) RIA will maintain a minimum of $ 350,000,000 in total regulatory assets
under management,
as reported in response to Item 5 in Part 1A of the RIA's Form ADV, throughout the duration of RIA's participation in the Program; (5) RIA and all associated persons of the RIA who manage client assets or who supervise such associated persons shall at all times be covered through both Errors and Omissions Liability Insurance and Fidelity Bond Coverage; and (6) RIA maintains a minimum of two principals or officers
as well
as a minimum of five employees.
Its CEO, Kurt Barton, told SI that the firm manages «about $ 300 million» in assets, and he claimed thatTriton registered with the SEC (
as is required by law of
investment adviser firms with at least $ 25 million in assets
under management) «roughly six months ago, around October.»
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 exempt.
The Board consists of four (4) individuals, each of whom are not «interested persons» (
as defined
under the 1940 Act) of the Trust or any
investment adviser to any series of the Trust («Independent Trustees»).
A fee - only
adviser might also be prone to avoid
investments that can reduce the level of assets
under management, such
as immediate annuities.
The funds, the
investment adviser and Schwab have adopted a Code of Ethics
as required
under the 1940 Act.
If the fund were no longer able to claim the exclusion, the fund's
investment adviser may be required to register
as a CPO and the fund and its
investment adviser would be subject to regulation
as a commodity pool or CPO
under the CEA.
Corporate lawyers in the Los Angeles office also regularly advise trustees and directors of
investment funds such
as banks, thrift institutions, trust companies,
investment advisers, broker - dealers and other institutional
investment managers regarding their fiduciary duties
under ERISA and state fiduciary statutes.
Mr. Viola's examination experience includes financial statement, performance advertising, and disclosure document reviews,
as well
as, analysis of
investment adviser and hedge fund issues arising
under ERISA and blue - sky laws.