Both BDs and asset managers need to understand the advisor's requirements and objectives if they want to identify and influence portfolio construction behaviors. As part of its research, Cerulli compared the portfolio construction process for advisors.
Dougan is a Registered Financial Consultant, investment advisor representative, licensed insurance agent, and holds a Series 65. He and his .... Once problems start, options become limited, and it's hard to make good choices when you're in a reactive mode.
“OJM”) is an SEC registered investment adviser with its principal place of business in the State of Ohio. OJM and its representatives are in compliance with the current notice filing and registration requirements imposed upon registered investment.
“As a financial adviser ... NJ and is registered as an investment adviser pursuant to New Jersey (NJ) law. AWM and its investment advisory representatives are in compliance with registration requirements in the states in which AWM and its representatives.
The Financial Crimes Enforcement Network (FinCEN ... 1 Anti-Money Laundering Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers, 80 Fed. Reg. 52,680 (Sept. 1, 2015). 2 See Anti-Money Laundering Programs for.
As part of cleverDome's collaboration among launch participants, TD Ameritrade Institutional contributed its expertise as an advisor technology thought-leader to help independent registered investment advisors (RIAs) better protect their firms and.
He must be completely transparent about his qualifications , the services he provides, his compensation, methods of analysis and any possible conflicts of interest. ... If they are not registered with the Securities and Exchange Commission (SEC) to give.
BUSINESS WIRE)--Financial Engines (NASDAQ: FNGN), America's largest independent investment advisor i , today reported financial results for its third quarter ended September 30, 2017. .... The timing and amount of stock repurchased, if any, will depend.
Gather the technology leaders of competing custodians and registered ... adviser will have and use." Perhaps the greatest impact robos have had on traditional providers of advice is that they have brought the "Amazon experience" to brokerage and financial.
Nevada passed and signed into law its Senate Bill 383, subjecting broker-dealers and investment advisors – effective July 1 – to the Nevada Revised Statute for financial planners , NRS 628A. The law effectively imposes a statutory fiduciary duty on.
Despite a Department of Labor rule that would require all advisors to be fiduciaries when consulting on retirement matters--that is, be legally bound to serve their clients' interests ahead of their own--some parts of the industry have pushed back.