Sentences with phrase «as investment advisers with»

(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.)

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.

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.

Not exact matches

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.

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

They're unavoidable: Online investment platforms known as «robo advisers,» ETFs, and mutual funds are all laden with fees.

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.

It moved some investment options into the least - costly share classes, and in March again changed the plan's management and investment lineup, hiring a new adviser as fiduciary and replacing all the «Fujitsu LifeCycle» funds with a new set of customer target - date funds called the «Fujitsu Diversified» funds (it also replaced most of the funds in the plan).

All stock recommendations and stock advice are presented as investment ideas and the readers should conduct their own research or check with their investment adviser before acting on any idea presented here.

Fisher Investments, one of the largest registered investment advisers in the country, is rapidly growing its fledgling 401 (k) advisory business, which some industry observers see as an emerging threat to retirement plan advisers working with...

(i) persons who are licensed in the securities industry (such as a registered broker or investment adviser) with the Securities and Exchange Commission (the «SEC»), the Financial Industry Regulatory Authority («FINRA»), or the securities division of a state or an equivalent state division; and

who is a licensed or registered as a broker investment adviser with the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), or a state level equivalent division;

Also, I can not give you official investment advice because I am not an investment adviser registered with the SEC and I am not a CFP (certified financial planner), so if you watch the videos and you see me trading a certain ETF or stock please do not interpret it as a recommendation.

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.

The Board approved the recommendation of MFS, the Fund's investment adviser, to authorize the Initial Tender Offer and the Conditional Tender Offer (together, the «Tender Offers») as part of an agreement with a large shareholder of the Fund that agreed to withdraw a shareholder proposal for the Board to consider a tender offer for all of the Fund's outstanding common shares at or close to NAV.

This document is being distributed by the following Allianz Global Investors companies: Allianz Global Investors U.S. LLC, an investment adviser registered with the U.S. Securities and Exchange Commission; Allianz Global Investors GmbH, an investment company in Germany, authorized by the German Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin); Allianz Global Investors Asia Pacific Ltd., licensed by the Hong Kong Securities and Futures Commission; Allianz Global Investors Singapore Ltd., regulated by the Monetary Authority of Singapore [Company Registration No. 199907169Z; Allianz Global Investors Japan Co., Ltd., registered in Japan as a Financial Instruments Business Operator [Registered No.

The issuing insurance company is not an investment adviser nor registered as such with the SEC or any state securities regulatory authority.

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.»

Warren has previously asked regulators to look into Icahn's role as a special adviser to President Donald Trump, arguing that the arrangement is fraught with potential conflicts considering Icahn's's extensive investment portfolio.

Mulrow, a Bronx - born son of Irish immigrants, had been an investment banker and financial adviser with some of the world's largest financial firms, and previously held two posts in the governor's administration, first as a member of the board that recommends how judges are compensated.

During an interview with the Washington Post editorial page staff in March 2016, Trump identified Page, who had previously been an investment banker in Moscow, as a foreign policy adviser to his campaign.

Today, he is the chairman of Infocomm Investments, a $ 200M fund in Singapore, a venture partner with GSR Ventures, and works with select start - ups as an angel investor and adviser.

As with most investment and tax related questions we should all take the little extra time and money to follow up on internet - based advice with your own lawyer, investment adviser and accountant.

The issuing insurance company is not an investment adviser nor registered as such with the SEC or any state securities regulatory authority.

Covestor Ltd is an investment adviser registered with the Securities and Exchange Commission, doing business as Interactive Brokers Asset Management («IB Asset Management»).

«The majority of people with investable assets have some sort of investment adviser, which is good and probably as it should be,» Hamza said.

But as a newly minted investment adviser who works with both do - it - yourself and full - service clients, I've spent time on both sides of the fence.

For all the small investment advisers out there who face similar problems, use this as a springboard in your discussions with your lawyers, or for your own research if you don't employ a lawyer.

As the proliferation of these products for the average investor increases, the discussions about including alternative investments into one's portfolio is also becoming more of a topic during regular review meetings with one's adviser.

If you're comfortable dealing with an online investing service, the new breed of investment advisers known as «robo - advisers» are another way to get a diversified portfolio that meets your needs.

It is registered as an authorised insurer in Hong Kong to provide long - term savings and investment solutions for customers and distributes products through strategic partnerships with independent financial advisers.

As of April 30, 2018, 19 investment advisers have launched NextShares funds, indicated their intent to launch NextShares funds by filing exemptive applications with the SEC, or entered into preliminary agreements with NextShares Solutions LLC (NextShares Solutions), the Eaton Vance subsidiary formed to develop and commercialize NextShares.

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.

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

Visitors should always do their own research and consult, as needed, with a financial adviser that's familiar with the individual circumstances before making any investment decisions.

Tip: If you've agreed to ongoing advice, you should receive regular reports about your investments as well as regular reviews with the adviser.

In the realm of investment advice, a registered investment adviser (RIA) is registered with the Securities and Exchange Commission or state securities regulators, has passed examinations, and must act as a fiduciary.

If you're digitally savvy and primarily want help with investments, robo advisers such as Betterment and Wealthfront will put together a portfolio of low - cost funds, based on your time horizon and risk tolerance, for about 0.25 % of the amount invested.

A closed - end fund's investment portfolio is generally managed by a separate entity known as an «investment adviser,» that is registered with the Securities and Exchange Commission.

Created by the Investment Company Act of 1940, the boards have a clear mandate to monitor potential conflicts of interest, review and approve key fund documents such as prospectuses, and ensure that advisers provide satisfactory investment returns with reasonInvestment Company Act of 1940, the boards have a clear mandate to monitor potential conflicts of interest, review and approve key fund documents such as prospectuses, and ensure that advisers provide satisfactory investment returns with reasoninvestment returns with reasonable fees.

As the baby boom generation continues to transition into retirement, financial advisers are facing the increasingly common challenge of clients who become overly conservative with their investments once they stop working.

Importantly, Research Affiliates, LLC is not compensated for linking you to any non-affiliated website and instead is only compensated with an asset - based fee in the limited capacities as either a licensor of intellectual property or a sub-adviser to an investment adviser.

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

I agree with Cardy that robo - advisers — more accurately described as online automated investment services — can prevent many of the worst investing mistakes.

Prospector is described as «an investment adviser registered with the Securities and Exchange Commission with its principal offices [in] Guilford, CT..

In terms of your long - term investment goals, a good adviser will ensure your risk profile is consistent with your portfolio and take into account where your investments are held, such as in a taxable or tax - deferred account.