Sentences with phrase «required assets under management»

Before the pilot program, these contracts were out of reach because the minimum required assets under management, often in the billions, were too large for small firms to qualify.

Not exact matches

These firms can afford to offer lower fees because their platforms reduce back - end costs and require fewer employees, especially as their assets under management continue to grow.

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.

Its CEO, Kurt Barton, told SI that the firm manages «about $ 300 million» in assets, and he claimed thatTriton registered with the SEC (as is required by law of investment adviser firms with at least $ 25 million in assets under management) «roughly six months ago, around October.»

We believe a long term asset management approach, allied to increased levels of funding, is required to bring our road network up to an acceptable standard and arrest the decline caused by years of under investment.»

Fees vary among these, with BMO's SmartFolio, for instance, requiring a minimum account size of $ 5,000 and charging fees as a percentage of assets under management, starting at 0.7 per cent for the first $ 100,000.

Using monthly net returns and assets under management (AUM) for specific (not fund - of - funds) and distinct CTA funds with at least 12 months of returns denominated in U.S. dollars and monthly data required to estimate futures risk factor premiums as available during January 1987 through July 2015, they find that: Keep Reading

Historically, however, MPT - based advice has been available only through high - end financial advisors who typically require minimum account sizes of $ 1 million and who charge annual fees of at least 1 % of assets under management.

The most common due diligence process is one that provides a list of metrics, including — but not limited to — expense ratio, excess return, and assets under management, and then requires investors to pick through those metrics to determine whether the index fund is any good.

These guys have very little conflicts of interest and although they work on an Assets Under Management (AUM) model, they are free to recommend low cost ETF's and they aren't required by management to try and sell you eManagement (AUM) model, they are free to recommend low cost ETF's and they aren't required by management to try and sell you emanagement to try and sell you everything.

After canvassing the leading substantive - consolidation standards and cases, Judge Jernigan determined that consolidation is appropriate under any test; her decision turned on a litany of facts and factors, including that (i) the company's «nerve center» is its Texas headquarters and all payroll for employees is effectuated from there, (ii) the company's centralized cash - management system and three bank accounts, (iii) all debtor entities were controlled by common officers and directors, (iv) the existence of substantial intercompany claims, (v) credible testimony demonstrated that preparing individual schedules was extraordinarily difficult and required numerous amendments, (vi) a substantial amount of creditors treated the debtors as a single unit, and (vii) that credible counsel had determined that the primary assets of many debtors — D&O litigation claims — are jointly owned by the debtors.