Sentences with phrase «held by the advisor»

Not exact matches

A new book by financial advisor Daryl Diamond debunks closely held beliefs about retirement income planning strategies.

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.

Universal and Focus are owned by NBC Universal, a unit of Comcast Corp.; Sony, Columbia, Sony Screen Gems and Sony Pictures Classics are units of Sony Corp.; Paramount is owned by Viacom Inc.; Disney, Pixar and Marvel are owned by The Walt Disney Co.; Miramax is owned by Filmyard Holdings LLC; 20th Century Fox and Fox Searchlight are owned by 21st Century Fox; Warner Bros. and New Line are units of Time Warner Inc.; MGM is owned by a group of former creditors including Highland Capital, Anchorage Advisors and Carl Icahn; Lionsgate is owned by Lions Gate Entertainment Corp.; IFC is owned by AMC Networks Inc.; Rogue is owned by Relativity Media LLC.

U.S. households likely owe $ 25 billion in capital gains taxes for their cryptocurrency holdings, according to estimates by Tom Lee, head of research at Fundstrat Global Advisors.

According to an ethics disclosure made public Friday, Ivanka Trump received at least $ 12.6 million since early 2016, either directly or through her trust (which is held by relatives of her husband, White House senior advisor Jared Kushner).

Reading more of the ICI findings, it is fairly apparent why the rule seeks to over-regulate annuity advisors who are subject to the rules - based and highly regulated suitability standard while under - regulating fee - only advisors by holding them to a subjective, principles based fiduciary standard: to pander to the employer - sponsored plan providers and keep money from rolling over.

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.

I will take it a step further by saying even financial advisors who actually believe the «buy - and - hold» model will no longer be very effective in the future (at least for the next several decades), will still not tell you otherwise.

Here's how: An advisor can help minimize the total taxes paid over the course of retirement by following this withdrawal order: required minimum distributions (mandated by law for investors age 70 1/2 or older who own assets in tax - deferred accounts), followed by dividends and interest on assets held in taxable accounts, taxable assets, and finally tax - advantaged assets.

Because either advisor - directed or by personal decision, many households hold a type of policy portfolio.

The only fees charged to clients are the net expense ratios charged by the ETF holdings in the portfolio (every robo - advisor does this).

Like nearly every other robo - advisor, Merrill Edge Guided Investing charges an annual advisory fee coupled with the expense ratios charged by the exchange trade funds (ETFs) held in the portfolio.

By purchasing CTK, and to the extent permitted by law, the Purchaser agrees not to hold any of the Company, its affiliates, shareholders, director, or advisors liable for any tax liability associated with or arising from the purchase of CTBy purchasing CTK, and to the extent permitted by law, the Purchaser agrees not to hold any of the Company, its affiliates, shareholders, director, or advisors liable for any tax liability associated with or arising from the purchase of CTby law, the Purchaser agrees not to hold any of the Company, its affiliates, shareholders, director, or advisors liable for any tax liability associated with or arising from the purchase of CTK.

Fee - Only financial advisors are held to the Fiduciary Standard, which means we are required, by law, to put our clients» best interest ahead of our own, but 75 % of financial advisors are held to a much lower ethical standard called the suitability standard.

Question 2 - What policies and procedures are in place in relation to personal data held by EHE Advisors in regard Elective Home Educators in Nottinghamshire?

He questioned the financial and fiduciary relationships held by lawmakers to clients at law firms or when they work as investment advisors.

PNP's funding has been provided by Birmingham Technology Fund (managed by Greer Capital Advisors) and Phase I Holdings LLC (managed by John C. Lankford, Ph.D.), with co-investments by Southern Research Institute, UAB - affiliated foundations and local private - equity investors.

Peter Ho - Sun Chan's entry in the genre of Chinese military epics, The Warlords (Magnolia) stars Jet Li as General Pang, the sole survivor of a military massacre engineered by a rival, who held back his forces purposely in the complicated chess of game of power played by the royal advisors.

Universal and Focus are owned by NBC Universal, a unit of Comcast Corp.; Sony, Columbia, Sony Screen Gems and Sony Pictures Classics are units of Sony Corp.; Paramount is owned by Viacom Inc.; Disney, Pixar and Marvel are owned by The Walt Disney Co.; Miramax is owned by Filmyard Holdings LLC; 20th Century Fox and Fox Searchlight are owned by News Corp.; Warner Bros. and New Line are units of Time Warner Inc.; MGM is owned by a group of former creditors including Highland Capital, Anchorage Advisors and Carl Icahn; Lionsgate is owned by Lions Gate Entertainment Corp.; IFC is owned by AMC Networks Inc.; Rogue is owned by Relativity Media LLC.

The sequel to the campy 2015 spy thriller sees newly minted Kingsman Eggsy (Egerton) and Roxy (Sophie Cookson) travel with their tech advisor Merlin (Mark Strong) to the U.S. after their headquarters is destroyed by Poppy (Julianne Moore), a criminal mastermind who holds connections to the shadowy organization known as The Golden Circle.

Universal and Focus are owned by NBC Universal, a unit of Comcast Corp.; Sony, Columbia, Sony Screen Gems and Sony Pictures Classics are units of Sony Corp.; Paramount is owned by Viacom Inc.; Disney, Pixar and Marvel are owned by The Walt Disney Co.; Miramax is owned by Filmyard Holdings LLC; 20th Century Fox and Fox Searchlight are owned by 21st Century Fox; Warner Bros. and New Line are units of Time Warner Inc.; MGM is owned by a group of former creditors including Highland Capital, Anchorage Advisors and Carl Icahn; Lionsgate is owned by Lions Gate Entertainment Corp.; IFC is owned by AMC Networks Inc.; Rogue is owned by Relativity Media LLC.

Remember, this is an issues - driven conference, augmented by the availability of one - on - one meetings with Peters Fraser + Dunlop agents and with editors from Pan Macmillan and HarperCollins who will hold open - submissions and consultations, along with independent publishing advisors organised with the help of the Alliance of Independent Authors.

Remember, this is an issues - driven conference, augmented by the availability of one - on - one meetings with the PFD agents and with editors from Pan Macmillan and HarperCollins who will hold open - submissions and consultations, along with independent publishing advisors (organised with the help of the Alliance of Independent Authors).

Only Registered Investment Advisors (RIA), who are governed by the Investment Advisers Act of 1940, are held to a true fiduciary standard.

The underlying investments are managed by Vanguard Group, Dimensional Fund Advisors, and the Utah Public Treasurers» Investment Fund, or are held in trust by my529 at Sallie Mae Bank and U.S. Bank.

Your security investments are not held by Crystal Brook Advisors or any associate of our firm.

Shares of AXA Equitable Holdings can be purchased through our transfer agent's Direct Stock Purchase Plan or by contacting your personal stockbroker or financial advisor.

The only fees charged to clients are the net expense ratios charged by the ETF holdings in the portfolio (every robo - advisor does this).

With an increased use of both index funds and ETFs by advisors and in model portfolios, passively managed fund and ETF assets increased to 26 per cent of overall fund and ETF assets held by retail distributors over the past year.

The advisor attempts to replicate the target index by investing all, or substantially all, of its assets in the stocks that make up the index, holding each stock in approximately the same proportion as its weighting in the index.

Because either advisor - directed or by personal decision, many households hold a type of policy portfolio.

If, however, you (except Employer Sponsored Retirement Plans) paid a CDSC when you sold Class C shares held at the time of sale in a Franklin Templeton fund account without an investment representative (financial advisor) appointed by you and invest the proceeds from that sale in Class A shares within 90 days of the sale, you will not receive a credit for the CDSC and new Class A shares issued with your reinvestment WILL NOT BE subject to any otherwise applicable CDSC.

The money, held in trust, would be managed by a trustee — a responsible family member or friend who could hire financial advisors, lawyers and accountants to advise on the money in the meantime.

The court dismissed Nuveen from an ERISA class action regarding services rendered by FAF Advisors, holding that the contract for Nuveen's purchase of FAF «unambiguously indicates that Nuveen did not assume any liability that FAF may have had» with respect to the plan at issue.

The percentage held in cash isn't nearly as high as Schwab's allocation, which is a minimum of 6 %, but it's worth noting for investors who would prefer the fractional shares offered by other robo - advisors.

This, I believe, sets a new record for absurd population claims — far surpassing the previous record held by Steve Holmer, senior policy advisor for the American Bird Conservancy.

Unlike most of the art holdings amassed by his high profile collector colleagues, his choices were not dictated by art advisors or influenced by art world trends.

Together with his husband, art advisor Mark Fletcher, he resides in New York and Connecticut and holds a personal collection that combines paintings by Andy Warhol, Richard Prince and Dan Colen with 18th - century French furniture, Baroque bronzes and silver.

Having spent the past six years painting, and even holding a solo exhibition at a Las Vegas gallery last year, Jim Carrey returned to the spotlight this weekend by tweeting a portrait of American campaign manager and political advisor.

Notable mandates: Canadian counsel to MeadWestvaco Corp. in international restructuring and spinoff of a division to another public entity, valued at around $ 500 million; counsel to Skyline Commercial REIT in its multi-phased acquisition of 46 commercial properties from Conundrum Capital for a purchase price of around $ 242 million; Canadian counsel to Ralcorp Holdings Inc. in cross-border acquisition by ConAgra Foods Inc., a transaction with a total value of more than US$ 9 billion; lead external legal counsel to Puerto Rico Public - Private Partnerships Authority in relation to the authority's first greenfield design - build - finance - maintain project (a juvenile detention and social treatment facility); advisor to Ghana Grid Co. Ltd. in relation to development of market rules for the Ghanaian electricity system.

(1) an interest in the individual holdings within a mutual or common investment fund; (2) an interest in securities held by an educational, religious, charitable, fraternal, or civic organization in which the judge or the judge's spouse, domestic partner, parent, or child serves as a director, an officer, an advisor, or other participant; (3) a deposit in a financial institution or deposits or proprietary interests the judge may maintain as a member of a mutual savings association or credit union, or similar proprietary interests; or (4) an interest in the issuer of government securities held by the judge.

(B) A judge shall not serve as an officer, director, manager, general partner, advisor, or employee of any business entity except that a judge may manage or participate in: (1) a business closely held by the judge or members of the judge's family; or (2) a business entity primarily engaged in investment of the financial resources of the judge or members of the judge's family.

(2) an interest in securities held by an educational, religious, charitable, fraternal, or civic organization in which the judge or the judge's spouse, domestic partner, parent, or child serves as a director, officer, advisor, or other participant;

The User agrees at his own expense to indemnify, defend and hold completely harmless Exide Life, its directors officers, employees and advisors to the fullest extent from all actions, suits, claims, proceedings, costs, damages, judgments, amounts paid in settlement and expenses (including without limitation attorneys fees and disbursements at actuals)(collectively «Loss») relating to or arising out of a breach by the User of the Terms of Use relating to this website or arising out of or in connection with the particulars, personal details, representations or warranties given by a User or arising from any other conduct of a User in relation to the use or access of this Website as a result of which, in whole or in part, Exide Life is made a party to, or otherwise incurs any Loss pursuant to, any action, suit, claim or proceeding arising out of or relating to any such conduct.

The investment advisor didn't hold back when commenting on bitcoin saying that the occasional global silliness on account of the allure of easy money comes as no surprise and that he finds it disgusting that people are taken in by the crypto hype.

Client Service Successfully gathered relevant information from wealthy clients with significant holdings to ensure they met investment criteria and created retention and asset gathering goals by engaging Potential clients in a wide - ranging exploration of client's level of knowledge, financial objectives, current planning practices and confidence level with current outside advisor.

Andrew Stoltmann, partner at Stoltmann Law in Chicago, predicts Trump, who was sued by the SEC over a decade ago in relation to his casino holdings, will appoint an advisor - friendly chair in the mold of a Harvey Pitt or Chris Cox.

In early April, for example, Weingarten Realty Investors (NYSE: WRI) executed on its previously announced plan to exit the industrial sector by selling all its industrial holdings to DRA Advisors LLC.

Headquartered in Atlanta, Georgia, SunTrust Bank has almost 1,500 branches spread over the southeastern United States, and as far north as Washington D.C. SunTrust is a publicly held bank with the majority of its shares held by BlackRock, State Street Global Advisors and T. Rowe Price Group.