Sentences with phrase «by investment advisors»

The Connection service includes only accounts managed by investment advisors affiliated with Schwab: Windhaven Investment Management, Inc., ThomasPartners, Inc., and Charles Schwab Investment Management, Inc..

The guarantee does not cover Program Fees for accounts managed by investment advisors who are not affiliated with Schwab or managed by Schwab - affiliated advisors outside of the SPC, SMP, SIA and Connection services.

Investment fees are expenses of managing plan investments by investment advisors and assessed as a percentage of the total assets invested.

Investment products that require active management and research by investment advisors will have higher fees.

Further, that women's salaries peak earlier, they retire with less money than men but need to support themselves for longer are realities often overlooked by investment advisors.

NEW YORK, December 28, 2017 — OnDeck ® (NYSE: ONDK), the leader in online lending for small business, announced today that a fund managed by an investment advisor subsidiary of BlackRock has joined OnDeck's platform of financing partners as another committed source of capital to fund small business loan growth.

When I worked at the financial services firm in college, it was common practice to not disclose how much commission was being made by the investment advisor.

Performance shown reflects fee waivers and / or expense reimbursements by the investment advisor to the fund for some or all of the periods shown.

Unlike regular stocks, closed - end fund stock represents an interest in a specialized portfolio of securities that is actively managed by an investment advisor, and typically concentrates on a specific industry, geographic market or sector.

However, just because he didn't believe the respondent, the credibility of the evidence given by his investment advisor was, fortunately for the respondent, not harmed.

Not exact matches

She was named one of «10 Young Advisors to Watch» by Financial Advisor magazine and one of the «Top 40 Under 40» by Investment News.

This hedge fund is managed by Capstone Investment Advisors.

The company is backed by Robert Ellin, a managing member of Trinad Advisors (50 %), Sandor Capital (8.8 %), and Primary Investments (6.1 %).

They'll request and review a lot of documents, including communications with the public and the type and extent of client information gathered by the advisor in order to make their investment recommendations.

In 2014, that meant that 1,164 investment advisors were examined by the SEC and only a small number of those — firms referred to enforcement — had significant problems.

Registered investment advisors tend to loathe the thought of being examined by securities regulators.

Currently, registered investment advisors regulated by the Securities and Exchange Commission or state securities regulators are already held to a fiduciary standard of conduct under which they must act in their clients» best interests.

He added that investors can keep more of their retirement savings by cutting investment costs, by reducing management fees or commissions charged by financial advisors.

Remember to freeze your spending, confront your emotions by accepting that your urge to spend is not in your best interest, and then speak to a credentialed investment advisor who will help you develop a good strategy so that the money is there when you really need it.

He was named one of 100 best financial advisors in America by financial - investment website Barron's.

Michael Arone, chief investment strategist at State Street Global Advisors, reckons that new legislation that drops the rate all the way to 20 %, and contains other levy - lowering provisions such as immediate expensing of capital expenditure, could raise EPS for the S&P 500 by 8 % in the first year.

Advice services are provided by Vanguard Advisers, Inc., a registered investment advisor, or by Vanguard National Trust Company, a federally chartered, limited purpose trust company.

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.

These highly prized information networks are typically used by Wall Street traders and financial advisors to track stocks and other investment vehicles and to monitor world economic and financial news.

The information on the Non-U.S. Websites is not maintained by BlackRock Fund Advisors or BlackRock Investments, LLC.

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.

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.

FT 300 Disclosure: The 2014 Financial Times Top 300 Registered Investment Advisors is an independent listing produced by the Financial Times (June, 2014).

Our deal flow is sourced by our team and presented to our client base of new and experienced angel investors, high net - worth individuals, institutional investors, family offices, wealth managers, and Registered Investment Advisors.

If any investment advisor ever suggests your investments don't need to be held by a reputable third - party custodian like Fidelity or Schwab, run — don't walk — away from this person — and certainly don't entrust them with your money.

This week, the DOL delayed the effective date of its Fiduciary Rule — which would define all retirement plan financial advisors as ERISA fiduciaries, effectively banning conflicted 401 (k) investment advice that puts advisor profit ahead of client interests — by 60 days from April 10, 2017 to June 9, 2017.

That means some financial advisors — basically, brokers and insurance agents - will once again be able to give conflicted investment advice by recommending high - priced 401 (k) investments that pay them rich commissions over less expensive - but comparable - alternatives on May 7, 2018.

None of our clients use a stock broker and insurance agent — which means they aren't affected by the rule at all unless their plan's financial advisor gives rollover recommendations in addition to investment advice.

By getting clients more engaged in the process, advisors increase the probability of keeping clients committed to their investment plan through good times and bad.

Simplifying the process by eliminating multiple agents — a CPA, insurance advisor, investment advisor, financial planner, etc. — makes managing your finances easier, clearer and more effective.

Simplifying the process by eliminating multiple agents — a CPA, insurance consultant, investment advisor, financial planner, etc. — makes managing your finances easier, clearer, and more effective.

«We've sought to harmonize the actual duties that are owed» by brokers and investment advisors, Clayton tells lawmakers.

Chicago — June 24, 2011; City Capital Advisors, a results - oriented investment banking firm serving the middle market, announced today that it advised the owners of Zenith Cutter Co. in the sale of the company to the Fisher Barton Group, a transaction led by Tim Coleman and Matt Phillips, both City Capital Managing Directors.

HighBank Advisors, a middle market Baltimore investment and advisory firm, has been acquired by the Philadelphia investment bank Janney Montgomery...

You may want to consult with your tax advisor to find out how the specifics of your individual tax situation may affect the tax treatment of income generated by your investments.

The Tool Kit is designed as a roadmap for Morgan Stanley Financial Advisors to use in empowering individual and institutional clients when selecting investments for a holistic portfolio consistent with financial objectives and guidelines put forward by the Catholic Church.

By Mark Matthews — Investment Research Analyst, CLS Investments The exchange traded fund (ETF) industry has experienced rampant growth, expansion, and innovation since the launch of SPY (SPDR S&P 500 ETF Trust) by State Street Global Advisors.By Mark Matthews — Investment Research Analyst, CLS Investments The exchange traded fund (ETF) industry has experienced rampant growth, expansion, and innovation since the launch of SPY (SPDR S&P 500 ETF Trust) by State Street Global Advisors.by State Street Global Advisors...

Pimco, State Street Global Advisors, Russell Investments, AdvisorShares, Guggenheim Investments and WisdomTree may soon get the green light from the Securities and Exchange Commission to list active ETFs previously filed by the asset managers, according to the article.

Wealth Advisor Solutions ® 4 Enables your Fidelity advisor to offer you access to specialized investment services from our network of independent registered investment advisors; minimums and fees vary by advisor and strategy

Since then, insurers have adjusted by whittling away at the benefits that came with variable annuities, imposing variable annuity investment restrictions on advisors, and sticking to their «derisking» strategies.

Today's article is by John Davi, chief executive officer and chief investment officer of Astoria Portfolio Advisors in New York City.

Venture - backed robo - advisors, such as Betterment, Personal Capital and Wealthfront, are competing with new automated investment advice services launched earlier this year by Charles Schwab and Vanguard.

While the SAFT has been extensively reviewed by multiple legal teams, we strongly recommend you consult with your own legal, investment, tax, accounting, and other advisors, to determine the potential benefits, burdens, risks, and other consequences of such a transaction.

Investment advisors can have a much greater impact by:

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