[PDF] Top 20 Form ADV Part 2A January 30, 2014

... We believe that all of our clients value their privacy, so we will not disclose any personal information to anyone unless it is required by law, at the client’s direction, or is necessa[r] ... See full document

... Certain industry credentials recognized by CFP Board, or the successful completion of upper-division level college courses, may satisfy some or all of the education requirements set by CFP Board. Note: As of ... See full document

...  Livingston Financial Planning is not, nor required to be, a FINRA or Securities Investor Protection Corporation (SIPC) member. You may learn more about the SIPC and how it serves memb[r] ... See full document

... Wetherby’s most recent modification to Part 2 of Form ADV includes an updated Assets Under Advisement (AUA) figure which now reflects a December 31, 2014 “as of” date. Additional updates were ... See full document

... Once you have approved the Proposal and accepted the Primerica Freedom Portfolios Account Agreement (“Client Agreement”), your account will be established and your assets will be invested in the funds listed in the ... 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

... 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

... Most of our programs that require an account charge an advisory fee, paid quarterly, based on the account’s balance on the last day of each calendar quarter (March 31, June 30, September 30, and December ... See full document

... Zach was not aware that placing such an ad would constitute an offer to sell securities. However the Massachusetts Securities Division informed him that the interest in the reforestation program is considered a security, ... See full document

... For “non-qualified” clients, Cable Car charges an asset-based management fee calculated as a percentage of assets under management of up to three (3) percent per year. The management fee is calculated and payable in ... See full document

... Hollow Brook provides continuous discretionary investment management services to the majority of its clients. Hollow Brook also provides advisory consulting services to a number of clients. In our discretionary separate ... See full document

... Fees for continuous Financial Planning Services are charged at a minimum $30/month for a one person household or $50/month to cover multiple clients at the same household. First month fee is to be collected upon ... 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

... program clients, and in the Fixed Income, International ADR, Large Cap Value and Small Cap Value strategies, DMBT trades away from the sponsor with respect to greater than a majority of the portfolio driven trades. DMBT ... See full document

... Sage has implemented a Code of Ethics that defines our fiduciary commitment to each Client. This Code of Ethics applies to all persons associated with Sage. The Code of Ethics was developed to provide general ethical ... 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

... NAM receives from broker-dealers certain research products or services that it also uses for business purposes unrelated to research - so-called “mixed use” products or services. For example, certain services are ... See full document

... in part, by information obtained as a result of employment or association with our firm unless the information is also available to the investing public upon reasonable ... See full document

... of Form ADV that contains information about Investment Adviser firms and the type of business they ...provide Part 2 of Form ADV to existing and prospective ...submit Part 2 of ... 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