Sentences with phrase «clients as an investment adviser»

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).

Not exact matches

Among the wave of financial technology companies attempting to challenge the hegemony of Canada's Big Five banks are «robo - advisers,» such as Wealthsimple and WealthBar, whose platforms help clients create and maintain portfolios of mostly passive investments, such as exchange - traded funds, for fees in the neighbourhood of 1 % of assets per year.

(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.)

Tony serves clients as a counselor, adviser, planner, and manager on a wide variety of financial and investment questions.

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 investment products managed by the firm are open only to investors who are both (i) «accredited investors» as defined in Rule 501 (a) of Regulation D promulgated by the U.S. Securities and Exchange Commission («SEC») pursuant to the Securities Act of 1933, and (ii) «qualified clients,» as defined in Rule 205 - 3 promulgated by the SEC pursuant to the investment advisers act of 1940, as amended.

Both Wataniya Mobile and British Gas are major clients of JP Morgan, the US investment bank that pays Blair # 2m a year for his role as a senior adviser.

Our only measure of success is how well we help you serve your clients whether you do so as a registered representative, investment adviser representative, or registered investment adviser or through a hybrid service model.

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.

As a registered investment adviser, Bernie Madoff had a fiduciary duty to his clients.

A new survey finds that as implementation of the DOL's fiduciary rule approaches, more than half of advisers expect to increase investment in client service and compliance technology.

Among the wave of financial technology companies attempting to challenge the hegemony of Canada's Big Five banks are «robo - advisers,» such as Wealthsimple and WealthBar, whose platforms help clients create and maintain portfolios of mostly passive investments, such as exchange - traded funds, for fees in the neighbourhood of 1 % of assets per year.

Many investors prefer information that is digital as well as interactive, noted Robert Keith, head of AllianceBernstein's client group, making it essential for advisers to have dynamic resources available that let them easily walk clients through the benefits of liquid alternative investments.

January 31, 2017 Wintergreen Advisers, LLC serves as investment adviser to clients who have collectively owned more than 10 % of Consolidated - Tomoka Land Co.'s («CTO», NYSE: CTO) shares since 2006, and who currently own more than 27.1 % of CTO's shares.

Our only measure of success is how well we help you serve your clients whether you do so as a registered representative, investment adviser representative, or registered investment adviser or through a hybrid service model.

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.

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.

It is important to recognize that a financial recommendation that is «suitable» for a client (as legally required for broker - dealers) may or may not be a financial recommendation that is in the client's best interest (as legally required for investment advisers).

«Most advisers are not out for the client's best interest; instead they are out for their own interests,» one / investment consultant is quoted as saying.

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.

He serves as an analyst at van Biema Value Partners, an SEC - registered investment adviser established by Michael van Biema in 2004 specializing in creating portfolios of small, deep value - oriented hedge funds for sophisticated clients around the globe.

Institutional Shares may be purchased by institutions such as endowments and foundations, employer - sponsored retirement plans (including, but not limited to profit sharing, 401 (k), 403 (b), 457 (b) and defined benefit plans)(Employer - Sponsored Retirement Plans) and individuals, including clients of investment advisers.

Our only measure of success is how well we help you serve your clients whether you do so as a registered representative, investment adviser representative, or registered investment adviser or through a hybrid service model.

The professional advisers see that the investment in winning content assists them greatly in underpinning their expertise and currency; they add value and pass it all on to their rich corporate clients; billing is constantly sustained or increased; the cost of acquiring and maintaining quality content is seen as a small price to pay to increase the size of the kids» trust fund.

Business lawyers, on the other hand, are more likely to receive referrals from their clients» other professional advisers, such as insurers, lenders, financial planners, accountants, investment bankers, venture capitalists, real estate professionals, health care professionals, or HR professionals.

This episode features Craig A. Foster and Joshua Hinderliter, associates in Thompson Hine's Investment Management practice group, discussing an important issue that particularly affects investment advisers who serve retail clients as America's senior population continues to increase: how to appropriately and effectively serve clients who have diminished financial capacity and may be vulnerable to financInvestment Management practice group, discussing an important issue that particularly affects investment advisers who serve retail clients as America's senior population continues to increase: how to appropriately and effectively serve clients who have diminished financial capacity and may be vulnerable to financinvestment advisers who serve retail clients as America's senior population continues to increase: how to appropriately and effectively serve clients who have diminished financial capacity and may be vulnerable to financial abuse.

While some advisers recommend using whole life insurance as a portion of a client's investment portfolio, we think that term life insurance is sufficient in most cases.

Our only measure of success is how well we help you serve your clients whether you do so as a registered representative, investment adviser representative, or registered investment adviser or through a hybrid service model.

Client Associates work alongside financial advisers and are involved in a variety of tasks, such as giving quotes, assisting customers, updating records, developing portfolios, researching investment trades, handling financial securities and preparing various financial forms.

New York - based Rockwood Realty Associates LLC negotiated the sale on behalf of the seller, Atlanta - based Lend Lease Real Estate Investments Inc., which acted as adviser to one of its private clients.