Sentences with phrase «reported client assets»

Wealth management reported client assets of $ 197 billion, down $ 8 billion, or 4 %, from a year ago.

Not exact matches

TD Ameritrade beat on the top line with $ 22 billion in net new client assets, but missed on the bottom line by $ 0.01 The firm also reported 943,000 client trades per day, beating the 931,000 Wall Street projected.

According to a CNBC report, RBC Capital Markets analyst Joseph Spak wrote to clients, «By owning the asset, we believe [Tesla] may be trying the investing partner approach they have taken with shareholders and asking them to stick with them for something they potentially didn't sign - up for.»

Advisors report their typical clients with variable annuities have, on average, $ 1.7 million in assets, are 55 years of age and have an average of 13 % of their assets in variable annuities.

About 70 percent of the bank's client asset base is dollar - based and the shift to dollar - reporting will happen later this year, he also said in the interview today.

2014.11.05 RBC Global Asset Management Inc. announces new offering of Passive Foreign Investment Company Reporting Statements for U.S. taxpayers RBC Global Asset Management Inc. (RBC GAM Inc.) today announced that Passive Foreign Investment Company (PFIC) Annual Information Statements will be made available to U.S. taxpayer clients...

Many of the trends seen in last year's Report Card have picked up steam, with assets under management and productivity rising at a healthy pace because advisors are working with fewer clients, overall, but more wealthy clients

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 employees.

They have also expanded the number of blockchain assets that they provide real time pricing for, as well as enhanced the performance reporting for clients» portfolios.

See «SEC Charges Philip A. Falcone, Harbinger Capital Partners and Related Entities and Individuals with Misappropriation of Client Assets, Granting of Preferential Redemptions and Market Manipulation,» The Hedge Fund Law Report, Vol.

The features offered by the Microsoft solution were considerable: Centralised rollout and provisioning of application software, operating systems, updates, device management, streamlined compliance management, integrity monitoring of clients connected to the corporate network, comprehensive asset management, reporting functionality and more, all from a single console.

Wrap Fee: A wrap fee is an amount charged to a client of an investment advisor for several services wrapped together, such as portfolio management, asset allocation, custodial services, execution of transactions, and preparation of quarterly performance reports.

Accelerated Cost Recovery System (ACRS) Acceptance, Waiver, and Consent Procedure Account Guarantee Acknowledgment Accredited investor Accretion Accumulation period Accumulation units Acid test ratio ACRS Actively traded securities Additional bond test Additional takedown Adjustment bonds ADR Ad valorem taxes Advance / decline ratio Advertising Adviser's client account Affiliated Persons Affirmative defense Affirmative determination Agency sales ticket Agency transaction Agent Aggregate indebtedness Agreement among underwriters Agreement of limited partnership Aggregate exercise price Alpha All - or - none All - or - none underwriting Alternative minimum tax Alternative orders Alternative trading system American Depository Receipt American Stock Exchange (AMEX) American - style options AMTI Amortization Annual report Annuity Annuity units Anti-dilution clause AON Arbitrage Arbitration Asked price Asset Asset allocation Asset class Assignment Assistant Representative - Order Processing Associated persons ATS At - the - close order At - the - money At - the - opening order At - risk rule Auction market Auditor's report Automated Confirmation Transaction (ACT)

Through this intuitive online system, our clients can obtain information on balances, holdings, history, cash flow, asset allocation, statements and reports — from any tablet, mobile device or desktop.

CAR focuses on optimizing the income tax classifications and other tax incentives (e.g. manufacturing investment credits, sales tax exemptions) surrounding client's major capital asset expenditures resulting in a report that outlines the tax technical and costing detail support for the recommended classifications.

Several years ago, they allowed independent advisors to offer their products to clients and had a nice report for advisors to track assets, etc. for clients.

Prime Advisors, Inc. provides comprehensive and customized reporting and investment accounting services to our asset management clients.

Annual Disclosure Notice Brokerage and Investment Advisory Services Cash Management Awards Points Program Rules Consolidated Report Disclosure Electronic Funds Transfer Services and Cash Management Program Debit Card IRA Clients — Notice of Approval International Disclosures Margin Account Facts and Disclosures Options Level Descriptions for Accounts at Baird Private Investment Management (Commission - Based Pricing) Disclosure Routing of Equity Orders Safety of Client Assets Schedule of Fees and Services Charges

Interestingly, Nationwide Asset Services was also required to report on 180 of their clients who actually did complete their plans, yet paid more in settlements and fees than they owed before they even started the plan.

This Partner Report from Timbercreek Asset Management examines the advantages of integrating exposure to global real estate into client portfolios.

We have represented clients in grand jury investigations regarding, among other things, possible fraud by employees who have manipulated the books and records of their employer, trustees who have misstated the assets of trusts, government contractors who have submitted claims for payment based on fraudulent accounting, and auto dealers who have falsely reported inventory.

Rarely is a new client truly bagged by one and only one partner; certainly if you asked the client they'd almost certainly report that while a personal relationship with the partner was instrumental at the moment of selection, the key business rationale driving the choice was reliance on the firm's assets and expertise as a whole.

Also, because the IRS doesn't impose the same third - party reporting requirements for virtual currencies as other more highly - regulated assets, you won't get a Form 1099 from your exchange, client, or employer at the end of the year.

«After hours of speculation, Coincheck Inc. co-founder Yusuke Otsuka said during a late - night press conference at the Tokyo Stock Exchange that the company didn't know how the 500 million tokens went missing, but the firm is working to ensure the safety of all client assets,» Bloomberg reports.

The report includes an investment guide for the company's clients with information on blockchain and crypto assets along with FAQ that answers the most basic questions newcomers in the crypto space are likely to ask.

administrative, Asset Management, ATM, Banking, budget management, budget preparation, budget, cable, change management, compliance reporting, hardware, consultant, client management, conversion, client, clients, Customer Relations, customer satisfaction, databases, decision making, Delivery, Dell, desktops, documentation, driving, due diligence, Facilities Management, financial, Help Desk, HP, inventory, Leadership, team leadership, leadership skills, Lexmark printers, managing, Marketing, meetings, Mental Health, Office, negotiation, Network, order entry, PC's, personnel, policies, problem resolution, process design, processes, Procurement, progress, Project Management, Project Coordination, proposal, quality, quality assurance, Retail, risk management, Sales, scheduling, schematics, SDLC, sound, specification, Staff Management, strategy, T - 1, unique, upgrades, vision, workshops

Responsible for cash reporting, Ad - hoc reporting, Account reconciliation, trade execution, posting 12b1 expenses, generating trial balances, and ensuring net asset valuations were updated and accurate by end of trading day for a specific set of client funds.

Assists in asset sales reports for internal management and various deliverables due to the client each month

Created presentations and reports for current clients examining portfolio performance, cash flow and balance sheet analysis, asset allocations and reconciliations, and historical performance with relevant benchmarks.

IT Asset Coordinator Roush Enterprises, Fairbanks, AK 5/2014 — Present • Plan, monitor, procure and record client based hardware assets to ensure compliance with company policies • Develop and implement procedures for tracking IT assets to oversee quality control throughout leased and purchased lives • Use appropriate tools and work closely with procurement departments to ensure that all IT asset management directives are handled according to protocol • Identify personal computers and related peripherals, their present locations, operating system versions, and lease cycles • Produce and submit compliance reports and assist with the development of procedures and policies to ensure replacement and deployment policies are followed • Assist in establishing and maturing processes for clients» asset management life cycles • Administer hardware deployment work and preservation and refreshment of assets based on established guidelines • Create and revise existing IT asset management, technology refresh and procurement related documentAsset Coordinator Roush Enterprises, Fairbanks, AK 5/2014 — Present • Plan, monitor, procure and record client based hardware assets to ensure compliance with company policies • Develop and implement procedures for tracking IT assets to oversee quality control throughout leased and purchased lives • Use appropriate tools and work closely with procurement departments to ensure that all IT asset management directives are handled according to protocol • Identify personal computers and related peripherals, their present locations, operating system versions, and lease cycles • Produce and submit compliance reports and assist with the development of procedures and policies to ensure replacement and deployment policies are followed • Assist in establishing and maturing processes for clients» asset management life cycles • Administer hardware deployment work and preservation and refreshment of assets based on established guidelines • Create and revise existing IT asset management, technology refresh and procurement related documentasset management directives are handled according to protocol • Identify personal computers and related peripherals, their present locations, operating system versions, and lease cycles • Produce and submit compliance reports and assist with the development of procedures and policies to ensure replacement and deployment policies are followed • Assist in establishing and maturing processes for clients» asset management life cycles • Administer hardware deployment work and preservation and refreshment of assets based on established guidelines • Create and revise existing IT asset management, technology refresh and procurement related documentasset management life cycles • Administer hardware deployment work and preservation and refreshment of assets based on established guidelines • Create and revise existing IT asset management, technology refresh and procurement related documentasset management, technology refresh and procurement related documentation

If the responsibilities of the job call for the employee to handle money, assets, clients» personal information, or proprietary company data, the information provided in the credit report may be very useful.

CRO Media Holding Company - Music Entertainment Search Chief Revenue Officer (CRO)- Global Based New York, NY - USA Search Firm Filcro Media Staffing Officer in Charge Tony Filson Reporting to The CEO and their Investment Bankers Client Media Co. acquiring music media and music entertainment assets

Duties include running eligibility reports, maintaining proper audit trails for clients, tracking contract changes, preparing monthly education billing, & maintaining fixed asset & depreciation schedule.

Accomplishments * Directed enterprise programs for successful business transformation and systems integration for multiple Fortune 200 companies acting as single point of contact for business process optimization and delivery of technology solutions for improved decision support, risk management, compliance, performance and client reporting for fastest growing asset management firm in US.

Based New York, NY - USA Executive Search Firm Filcro Media Staffing Officer in Charge of Search Tony Filson reporting to the CEO and Investment Bankers Client U.S. media company acquiring multinational music media and music entertainment assets

Tags for this Online Resume: Audits, Budgeting, Cost, Financial Statements, Internal Controls, Payroll, Reporting, Cost Accounting, Financial Analysis, Expense Control, Strategic Planning, Team Leadership, Motivation, General Ledger, Process Improvement, Recruiting, Procurement, Purchasing, Policy Development, Fixed Asset Inventory, Investment, Client Relations

Core Competencies Administrative Management • Daily Operations Management • Reporting • Client Relations • Customer Service Communications • Data Entry • Operations Improvement • Conflict Resolution • Managed Assets

Core Competencies Administrative Management • Daily Scheduling Oversight • Reporting • Client Relations • E-mail Communication Data Entry • Organizational Management • Problem Solver • Multitasking • Diary Management • Appointments Client Relations / Retention • Asset Management / Valuation • Collections • Property Legal Processes

Core Competencies Technical Management • Administrative Management • Support Specialist • Team Leadership Communications • Response Team Specialist • Client Relations • Operations Improvement • Inspection Asset Protection • Communications • Reporting • Technical Skills • Bilingual

Core Competencies Daily Operations Oversight • Reporting • Client Relations • Asset Protection • Facilities Security Communication • Data Entry • Loss Prevention • Team Leadership • Customer Service / Support

CORE COMPETENCIES Law Enforcement • Security Operations • Asset Protection • Emergency Preparedness • Crisis Management Defensive Techniques • Administrative Management • Training • Patrolling • Reporting • Military Campaign Support • Policies & Procedures • Communications • Customer Service • Logistics Management • Project Management • Inventory Management • Driver • Property Accountability • Client Relations • Process Improvement • Logistics Coordination • Strategic Planning • Team Leadership • CLS Qualified

Information Technology Security Manager — Duties & Responsibilities Manage IT security, customer service technicians, assets and finances, and client training Responsible for ensuring that multiple IT groups meet finance, audit, and compliance requirements Serve as primary point of contact for customer contracts, technical support, and end - user training Utilize interpersonal and technical skills as liaison between clients, technicians, and subcontractors Train large staffs ensuring they understand the brand and adhere to corporate policies and procedures Oversee the implementation of asset management processes and procedures Coordinate activities with desktop leads to ensure SOX compliance Validate asset information, manage defect reports, and submit correct action recommendations Design and implement enterprise - wide security protocols, mainframe / pc policies, & software / hardware packages Collaborate with department managers to identify and address security concerns through IT Security policies Reduce corporate information ricks through implementation of sensitive document control processes Utilize RACF and Windows / LAN measures to greatly improve user, administrator, and application security Establish and oversee regular system security audits for employers and clients Author and present added value reports, optimization reviews, and overall audit presentations Enhance employee productivity and accountability through the implementation of firewall and tracking software Perform all duties with positivity, professionalism, and integrity Consistently recognized and promoted for excellence in team leadership, customer service, and technical skills

Financial Manager — Duties & Responsibilities Manage daily operations, sales, and customer service activities for multiple financial institutions Oversee company expansion and branch openings in new markets and territories Manage client assets in excess of $ 285 million across a wide range of investment vehicles Design and implement professional development and employee recognition programs Consistently meet or exceed sales goals through networking, cold calling, and other tactics Represent company brand with poise, integrity, and positivity Develop a rapport with customers and orient them to various products and services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and services Conduct research on prospective leads and existing clients to assist in developing sales strategies Craft effective sales presentations and proposals, tailoring them to clients based on their specific needs and styles Negotiate and execute contracts with C - Level decision makers Maintain records of site visits to potential and existing clients to assist in assessing their future needs Collaborate with junior level sales people to develop action plans to govern their performance Make cold calls in a courteous, yet assertive manner that translates to sales results Recruit, train, and direct staff ensuring they understand the brand and adhere to company policies and procedures Maintain comprehensive records detailing pricings, sales, activities reports, and other pertinent data Strictly adhere to budgets and project timelines

Professional Experience Kellogg, Brown & Root (Baghdad, Iraq) 2011 — Present Logistics, Procurement & Supply • Oversee logistics, procurement, and supply operations for a multimillion dollar private military contracting company • Participate in the closeout of Operation New Dawn in logistics support to the US Army • Administer material control, inventory control, and manage shipping / receiving of varied military materials • Train new personnel ensuring they understand and implement industry best practices • Establish departmental protocols for ordering, receiving, protecting, preserving, and accounting of government property • Check all parts and material for damage and verifies quantity, part numbers and serial numbers • Prepare status reports on parts, analyze logistics and inventory problems, and recommend solutions • Set, maintain, and issue material to local and outlining clients theater wide • Inspect material to guarantee compliance with specifications and maintain records of shipping / receiving details • Track government property assets in accordance with the PCP guidelines

Accountant — Duties & Responsibilities Trained in corporate finance and accounting with a proven record of academic excellence Maintain proficiencies in industry accounting software including QuickBooks Online Pro and PTS Skilled in financial management and customer service best practices Oversee company payroll, P&L statements, credit cards, savings accounts and general ledger Provide exceptional customer service resulting in client loyalty and referrals Build and strengthen professional relationships with clients, vendors, and corporate partners Responsible for corporate cash flow, inventory, and other assets Create spreadsheets tracking sales, customer service, accounting, and other activities and data Author and present reports regarding corporate financial health, customer service operations, and sales Train junior team members ensuring they understand the brand and adhere to corporate protocols Perform all duties in a professional, positive, and timely manner

Professional Duties & Responsibilities Managed all aspects of branch location including personnel and daily operations Oversaw employee hiring, training, performance reviews, compensation, and termination Interfaced with business, insurance, and investment partners to provide holistic client service Analyzed local, niche, and national markets to identify potential sales opportunities for clients Generated significant revenue through successful leveraging of bank products and services Built long - term relationships with key industry contacts to expand company reach and sales Conducted Management Self Assessments, audits, and compliance activities Monitored adherence to legal and corporate procedures protecting company and client assets Resolved escalated customer service issues promptly, professionally, and effectively Implemented measures to significantly increase operational efficacy and efficiency Identified and developed high potential employees increasing their value to the company Designed and implemented employee recognition program elevating corporate morale Performed teller services including cash handling and bank vault oversight Tracked sales referrals guaranteeing observance of proper procedures and policies Reviewed ledgers, branch audit logs, and closeout, balance, and M&D reports Provided excellent customer service resulting in client satisfaction and repeat business

Rothstein Asset Management (Washington, DC / Shanghai, China) 2006 — 2007 Operations Manager / Research Analyst • Managed a three - person staff through the initiation and implementation of various marketing, operations, and infrastructure development projects • Researched and analyzed alternative investment vehicles, venture capital opportunities, and equities within various Asian markets • Developed monthly performance reports for distribution to investment clients and fund partners

Director of Operations — Duties & Responsibilities Manage daily operation, finances and personnel of US Army dining facilities in domestic and international forums Responsible for facility and equipment valued in excess of $ 570,000 Train and supervise large staff ensuring efficient and effective food service operations Design and implement staff workflows, program policies, and meal preparation / service procedures Plan and execute breakfast, lunch, and dinner for more than 3,000 soldiers and civilians Create healthy and enjoyable menus in accordance with national nutrition standards Ensure strict compliance with all applicable health and safety regulations Oversee food / equipment inventory and orders ensuring cost effective operations Coordinate special events, field kitchens, and other special projects as assigned Manage all new construction and modification to facilities and equipment Prepare and present reports concerning finances, client satisfaction, and nutrition for senior leadership Utilize extensive military training to manage security of facilities, assets and personnel in hostile territory Consistently promoted for excellence in team leadership, dedication, professionalism, and integrity

Core Competencies Nuclear Plant Management • Administrative Management • Support Specialist • Team Leadership Communications • Response Team Specialist • Client Relations • Operations Improvement • Inspection Asset Protection • Communications • Reporting • Technical Skills

Piper Capital Management (Minneapolis, MN) 1997 — 1998 Advisory Account Administrator • Reconcile mutual funds and privately manage assets using portfolio accounting system • Review and research portfolio performance authoring reports for senior leadership • Monitor trade settlement dates and bond coupon payments • Train new employees and offer guidance to clients and portfolio managers