[PDF] Top 20 A Registered Investment Advisor

A Registered Investment Advisor

... institutions . . . our cash was invested to avoid credit risk, not to reach for return . . . we have no exposure to derivatives or counterparty risk . . . we held cash for six years and counting, and have more to invest ... See full document

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Rezny Wealth Management, Inc. A Fee-Only Registered Investment Advisor

... There are numerous ways of measuring the risk of equity securities (also known simply as "equities" or "stock"). In very broad terms, the value of a stock depends on the financial health of the company ... See full document

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DIVERSIFIED RESOURCES, LLC Registered Investment Advisor FORM ADV PART 2 BROCHURE

... tax advisor to determine if this accounting method is the right choice for ...tax advisor believes another accounting method is more advantageous, please provide written notice to our firm immediately and ... See full document

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McCarthy Asset Management, Inc. Registered Investment Advisor

... According to the National Bureau of Economic Research (NBER), the official arbiter of business cycles, there have been 33 recessions dating back to 1854, when records began. There were [r] ... See full document

5

Focus Planning Group, LLC Registered Investment Advisor

... and investment consultation service after this five-day time period, the client may be assessed fees at the firm’s current hourly rate for any time incurred in the preparation of the client’s analysis or ... See full document

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Experience a different kind of advice.

... Tennessee Registered Investment Advisor providing personalized financial planning, fee based investment management, tax strategies, estate planning, and alternative IRA ... See full document

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FORM ADV 2 A & 2 B 7800 DALLAS PARKWAY, SUITE 350 PLANO, TX 75024

... a registered investment advisor. We provide investment advice to First Private’s clients for a percentage of the investment management fee its clients ... See full document

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Phillips-Edison ARC Grocery Center REIT II, Inc. SUBSCRIPTION AGREEMENT INSTRUCTION PAGE

... Financial Advisor, Registered Investment Advisor or the Authorized Representative (the “Advisor”) must sign below to complete the ...or Advisor warrants that it is a duly ... See full document

9

INVESTMENT ADVISOR DISCLOSURE BROCHURE FORM ADV, PART 2A and PART 2B

... various registered investment advisors to its clients through a wrap fee program sponsored by Raymond James Financial ...the investment advisory fee from Raymond ...selected investment ... See full document

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Steve Stanganelli, MSF, CFP, CRPC An Introduction to Divorce Financial Planning. Divorce and Your Money

... is registered as an investment advisory representative in the state of ...only Registered Investment Advisor firms in the Greater Boston ... See full document

14

ACF Responsible and Impact Investment Policy 2

... The Investment Advisor will include analysis of relevant ESG considerations in forming investment strategies and recommendations for the ...third-party investment managers will include ... See full document

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SPRING OCEAN CAPITAL LLC INVESTMENT ADVISORY AGREEMENT. Terms and Conditions. 1. Advisor s Discretionary Authority and Responsibilities

... Client authorizes the broker and/or Custodian carrying Client’s account to charge his or her account the amount of Advisor’s fee and to remit such fee to Advisor in accordance with Client’s instructions. Client ... See full document

24

BUSINESS CONTINUITY PLANNING FOR REGISTERED INVESTMENT COMPANIES

... a registered investment adviser to provide investment advice unless the adviser has adopted and implemented written policies and procedures that are reasonably designed to prevent violation by the ... See full document

13

Cambridge Investment Research Advisors, Inc Pleasant Plain Road Fairfield, IA Date of Brochure: September, 2013

... principle for CIRA’s Code of Ethics, which also covers its Insider Trading and Personal Securities Transactions Policies and Procedures. CIRA requires all of its supervised persons to conduct business with the highest ... See full document

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Cetera Advisor Networks LLC 200 North Sepulveda Boulevard Suite 1300 El Segundo, California

... Cetera Investment Services LLC (Cetera Investment Services), an affiliate of the Firm and a non- bank custodian, serves as directed trustee and IRA custodian for the ...Cetera Investment Services, ... See full document

28

Custody compliance: Creating more clarity

... put investment advisors on notice to take Custody Rule compliance very ...an investment advisor to comply with the Custody Rule, no matter how technical or inadvertent, could give rise to a claim by ... See full document

11

Part 2B of Form ADV: Brochure Supplement. Financial Management Strategies, Inc. Carl Camillo 9050 Sweet Valley Drive Valley View, Ohio 44125

... recommend investment related products based on the compensation received rather than a client’s ...any investment products through Cetera Advisor Networks, LLC as part of an advisory relationship ... See full document

5

Item 2 Material Changes

... There were material changes made since our last filing of our Form ADV Part 2 or “Disclosure Brochure” on August 2, 2012. There was a re-equitization of PCM in December 2012, resulting in PCM employees owning a majority ... See full document

36

The Montañez Group at Morgan Stanley Smith Barney. Managing your wealth, growing our relationship

... Smart planning starts with asking the right questions, as well as understanding your financial needs and goals. Only then will we provide comprehensive wealth management advice and help connect all the pieces of your ... See full document

12

Ditsch Trading, LLC. A Commodity Trading Advisor Registered with the US Commodity Futures Trading Commission

... The Advisor withdrew as an NFA member commodity trading advisor in October ...The Advisor was reformed in October of 2015. The Advisor is registered with the Commodity Futures Trading ... See full document

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