[PDF] Top 20 FORM ADV Part 2A August 14, 2015

... TDA may pay for business consulting and professional services received by MAMC’s related persons and may also pay or reimburse expenses (including travel, lodging, meals and entertainment expenses) for MAMC’s personnel ... See full document

... The inability to readily buy or sell an investment for a price close to the true underlying value of the asset due to a lack of buyers or sellers is a form of liquidity risk. While certain types of fixed income ... See full document

... In cases where Client has engaged CAG to manage a portfolio of investments on a fee basis as described in “Investment Management Services” in this brochure, CAG will recommend the use of a broker/dealer firm to act as ... See full document

... Roger A. Early (DOB 2/5/1954) rejoined Delaware Investments in March 2007 as a member of the firm’s taxable fixed income portfolio management team, with primary responsibility for portfolio construction and strategic ... See full document

... Our Program fees are designed to cover all client costs except costs incurred because of special requests for services not provided by the program. For example, the program provides for electronic delivery of documents. ... See full document

... 1) Overall cost: Hedgewise anticipates the need to make between five and twenty trades for every client's account at least once per month. Given this volume of trading, it is a priorit[r] ... See full document

... carefully considered before becoming an advisory client. Questions relative to the firm, staff, its services, or this Form ADV Part 2A may be made to the attention of Mr. Juetten at (425) ... See full document

... 27, 2015 True North had approximately $902 million in client assets under management at Schwab and does not believe that recommending clients to collectively maintain at least $10 million of those assets at Schwab ... See full document

... Teamwork Financial Advisors, LLC Page 7 Form ADV Part 2A Disclosure Brochure Planning, Education Planning, Portfolios Review, and Asset Allocation. When providing financial planning and ... See full document

... Skygate may recommend/require that clients establish brokerage accounts with the Schwab Advisor Services division of Charles Schwab & Co., Inc. (“Schwab”), a registered broker-dealer, member SIPC, to maintain custody ... See full document

... We receive benefits from Schwab that we would not receive if we did not provide investment advice to clients. Although these benefits are not paid for with client commissions, these practices may be considered informal ... See full document

... Visionary employs a multiphase approach to researching and assisting in selecting managers suitable for participation in the Program (“Approved Sub-Managers”). Approved Sub-Managers are evaluated using data and ... See full document

... As part of our fiduciary duties to clients, we endeavor at all times to put the interests of our clients ...are part of the institutional platform offered by TD Ameritrade ... See full document

... CWM may receive compensation from a brokerage firm in the form of research, products or services (“soft dollars”). When a firm uses client brokerage commissions to obtain soft dollars, the firm receives a benefit ... See full document

... Sage’ Form ADV 2 (the written disclosure statement also known as the “Brochure”) and a copy of the solicitor’s written disclosure document and a statement to the Client disclosing the terms of the ... See full document

... A new portfolio is created and tailored to the client using information collected from client communications, risk assessment, investment policy statement, and fundamental technical qu[r] ... See full document

... Mr. Murphy has been designated to serve as TRG’s Chief Compliance Officer (“CCO”) since December 2012. As the CCO, Mr. Murphy supervises the activities of Thomas Gasper by periodically reviewing the following aspects of ... See full document

... When Penney Financial, LLC is engaged to provide investment advice or investment management services, first, we gather information about the client’s personal financial situation and th[r] ... See full document

... a part of the fees of a third-party providing these services to our ...as part of the total mix of factors we consider and not solely on the nature, cost or quality of custody and brokerage services ... See full document

... For SMA Accounts, NAM generally determines the timing and manner of disposition of legacy securities used to fund new SMA Accounts, or contributed to existing SMA Accounts, that are incompatible with NAM’s long-term ... See full document