[PDF] Top 20 Form ADV Part 2 Disclosure Brochure

... The primary objective in placing orders for the purchase and sale of securities for Client accounts is to obtain the most favorable net results taking into account such factors as 1) price, 2) size of order, 3) ... See full document

... Volatility and Correlation Risk – Clients should be aware that the Advisor’s asset selection process is based in part on a careful evaluation of past price performance and volatility in order to evaluate future ... 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

... Boston Advisors is subject to registration requirements with the Securities and Exchange Commission and state regulatory authorities for essentially all 50 states. Both federal and state authorities are empowered to ... See full document

... This type of engagement begins when our firm sends an agreement to you stating the nature, scope and fee for the Custom Investment Management Service. We will also send you our Privacy Policy and Form ADV ... See full document

... The investment solutions that NSLLC advisory representatives are permitted to make available to clients are listed below. Detailed information for each solution can be found in AssetMark’s disclosure ... 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

... This Brochure (Form ADV Part 2) contains certain clarifying changes to Items 4, 5 and 12, regarding certain incidental financial planning services we may sometimes provide to our ... See full document

... commission compensation for the sale of securities or other investment products, including asset- based sales charges or service fees from the sale of mutual funds. Such could be in the form of a sales commission ... See full document

... RIA Innovations receives compensation paid from the overall advisory service fees paid to your RIA. The overall fee is set forth in your agreement with your RIA and is discussed in their ADV Part 2 ... See full document

... different prices, each account participating in the order will be allocated an average price obtained from the executing broker. To ensure the equitable distribution of investment opportunities among clients of the firm, ... See full document

... Foreign Securities Risks. We may invest portions of client assets into pooled investment funds that invest internationally. While foreign investments are important to the diversification of client investment portfolios, ... See full document

... the ETFs in their portfolio that are most underweighted from the user’s previously selected asset allocation. Auto-Rebalance enables users to periodically (annually, semiannually, or quarterly) rebalance the ETF ... See full document

... fee), 2) for unlisted bonds, to obtain better pricing or availability, 3) for unlisted stocks, to obtain net pricing from a market-maker, or 4) to seek availability to buy an IPO when directed by the ... See full document

... subjects Access Persons to preclearance procedures that are intended to minimize any potential impact on, or benefit to related persons from, client transactions. Further, almost all securities in which Hollow Brook ... See full document

... AlphaClone's investment methodology leverages hedge fund and institutional investment manager SEC pubic disclosure filings to discern a manager's disclosed holdings at the end of each quarter. AlphaClone's core ... See full document

... Management (AUM) as of a specific date (usually the End of Month (EOM) or End of Quarter (EOQ). Fees range from .5% to 2% and are determined at the time of initial consultation with the client. Fees are based upon ... 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

...  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

... Securities laws require an advisor to disclose any instances where the advisor or its advisory persons have been found liable in a legal, regulatory, civil or arbitration matter that alleges violation of securities and ... See full document