Sentences with phrase «based on an advisor»

In an analysis of the DOL's fiduciary proposal, they said, «BICE would provide an exemption permitting broker - dealers to receive variable and indirect compensation based on their advisors» non-discretionary recommendations.

Many mutual funds rely on a network of financial advisors to sell its funds, and sometimes that is based on advisors» perception on these funds and their relationship and past experiences with the fund managers.

After you setup your online brokerages, y0ou may transfer money and start buying stocks based on your research or based on your advisor recommendation.

Leadsman Capital Strategic Income Fund (LEDRX) was liquidated on April 7, 2015, based on the advisor's «representations of its inability to market the Fund and the Adviser's indication that it does not desire to continue to support the Fund.»

Not exact matches

If you feel you need help developing a savings plan that will keep you on a positive path toward retirement, talk to a fee - based, objective financial advisor.

With a listing on TSXV, an early - stage company benefits from a marketplace — including the exchange, professional advisors, regulatory model and investor base — that understands venture companies.

«I rely on one or more investment advisors who are compensated, at least in part, based upon sales commissions.»

«Paula would have to be open to sharing a lot of personal and financial information to get the most out of it, but the mentors would basically serve as a panel of advisors on an unpaid basis for a year, to help her grow her business.»

Steve Seelig, senior regulatory advisor at benefits consulting firm Willis Towers Watson, said that, of three changes related to executive compensation in the tax reform plan — the other two involve stock options and performance - based pay — it's the hit on tax - exempt executive compensation that is the most significant.

According to U.S. fund manager David Kotok, who runs Florida - based Cumberland Advisors, the failure of Drexel Burnham Lambert in February 1990 highlights the importance of keeping tabs on primary dealers.

Any decision to move on the part of MSCI would now be reactive,» Chantal Grinderslev, senior advisor at Shanghai - based investment management consulting firm Z - Ben, told CNBC.

Being assured the advisor's investment choices are based on a solid foundation, as opposed to a random selection.

The software, an engine based on Social Security claiming rules, is licensed to financial advisors.

As part of its consumer protection mission, the SEC has implemented an examination program that all SEC - registered investment advisors undergo on a periodic and somewhat random basis.

But David Kotok, head of New Jersey — based Cumberland Advisors, almost choked on his eggnog when he heard the news.

Here is my list, based on my own experience as a startup advisor, talking to other angel investors, and derived from the lean startup principles of venture advisor and entrepreneur Eric Ries:

The issue is so pressing in the wake of WannaCry that on May 17 the Securities and Exchange Commission issued a cybersecurity alert for broker - dealers, financial advisors and investment funds that stressed both the importance of undertaking penetration tests and vulnerability scans on critical systems and the necessity of upgrading systems on a timely basis.

Ileana Musa focuses on working with Bank of America's international financial advisors with goal - based wealth management experience for high - net worth clients.

«The MiFi device is indispensable, especially for someone who travels on a weekly basis,» says Bill Rom, managing partner at 151 Advisors.

The robo advisor operates in a manner similar to its peers by creating a customized portfolio based on account type, income, risk tolerance, and more.

In August, the investment firm Richard Bernstein Advisors compared the performance of the average investor — based on the monthly flows of money in and out of mutual funds — against a variety of stock indexes, commodities and other asset classes over a 20 - year period ending Dec. 31, 2013.

Coalition forces have moved their bases closer to the front, relaxed their rules of engagement and during the push on Mosul airport coalition advisors were embedded with forward Iraqi rapid response and special forces units.

And for taxable accounts with balances over $ 500,000, the robo - advisor offers «advanced indexing,» where it weights the stocks in a portfolio based on various factors, including low volatility and high dividend yield, to further power potential returns, all for the same advisory fee that applies to all accounts.

Ask your investment advisor or broker to explain their exact professional status, and to detail whether he or she earns a direct commission on any specific stock, bond or fund that winds up in your portfolio based on their advice.

Applying the ratio of entities that meet the SBA size standards to the number of affected entities, based on the methodology described at greater length in the RIA of the Fiduciary Rule, the Department estimates that the number of small entities affected by this final rule is 2,438 BDs, 16,521 Registered Investment Advisors, 496 insurers, and 3,358 other ERISA service providers.

There are many variations on the robo advisor theme, but in their purest form they are automated advisors that invest your money based upon an investment algorithm.

Significant portions of these distributions were not based on our investment performance and such waivers and reimbursements by NexPoint Advisors may not continue in the future.

Traditionally, different types of insurance — life, disability and long - term care, for example — have been bought separately on what Thomas Henske, certified financial planner and partner at Lenox Advisors, calls an «a la carte» basis.

Basically, it's moving in and out of the stock market with the intention of minimizing losses and buying investments when they're on the rise to eventually sell at a premium, says Ben Barzideh, wealth advisor at Piershale Financial Group in Crystal Lake, Ill. «Instead of holding onto an asset long - term, [you're] buying and selling based on predicting future market movements.»

When all is said and done, it seems that firms are recognizing that the best interest contract exemption is the way forward for advisors who wish to continue selling financial products on a commission basis — and that now is the time for preparing for compliance in advance of the applicability date.

Robo - advisors use the same software as traditional advisors based on Modern Portfolio Theory, but usually only offer portfolio management and do not get involved in more personal aspects of wealth management, such as taxes and retirement or estate planning.

All data based on Fidelity analysis of 22,000 corporate defined contribution plans (including advisor - sold DC) and 13.6 million participants as of December 31, 2015.

The Massachusetts Securities Division issued Friday a policy statement that will serve as guidance to robo - advisors seeking to register in the state, saying robos would be evaluted «on a case - by - case basis.»

Affiliated companies that want to distribute their affiliated products will «have to use the BICE, and that involves levelizing the fees of the individual advisor or basing compensation of individual advisors on neutral factors.

And it has to be based on things like how much work it is for the advisor and how complex the product is to explain and educate to the investor,» Reish explains.

Our full range of services are combined with investment strategies based on Nobel Prize winning academic research accessible to select advisors worldwide.

«Advisors can use networking events, cocktail hours and sporting events to engage with a younger client base on a more personal level.»

FINalternatives ran an article on Carrick's addition of Senator Frist as an advisor «San Francisco based Carrick Capital Partners has...

Instead, advisors can set fees for clients (and profits for themselves) based on the skills, costs, time, expense, overhead and risks of managing the portfolio.

Most of the coverage of the SEC's recent proposal to replace the Department of Labor's Fiduciary Rule has focused on the different standards for brokers vs. advisors and the shortcomings of a disclosure - based approach to regulation.

Leith Wheeler offers F - Series Funds through investment advisors on a fee - for - service or discretionary basis.

While a lot of the guidance I offer as a financial advisor is based on my financial expertise, some of my best advice comes from the belly of life experience.

Leva is an intelligent advisor built on our cloud - based Cognitive SourcingTM Platform.

He will assist GSE in helping to provide insight to clients and Financial Advisors based on his first - hand experience with the financial opportunities and challenges encountered by professional athletes.

Mr. Robertson, president of Potomac Global Advisors, an international strategic and financial consultancy based in Washington, DC, announced that based on an internal market analysis, the U.S. arm of the company is prepared to invest as much as 50 million USD in the market, including 20 million USD in the first year.

You should consult your investment advisor before acting based on any information provided on this website.

Some brokers and robo - advisors will offer portfolio allocation advice based on your age and answers to a risk questionnaire.

We offer a comprehensive suite of F - Series Funds to investment advisors, on a fee for service or discretionary basis, at among the lowest fees in the industry.

Leith Wheeler Investment Funds are only available through investment advisors who provide advice on a fee - for - service or discretionary management basis.

The new single - premium deferred index linked variable annuity is being offered on a commission and fee basis, which will appeal to both independent broker - dealers and registered investment advisors, the company said.