Independent Investment Advice

Investment Banking Boutique Firms - SIPA: School Of ...
A leading independent investment bank providing corporate strategic advice and investment management services. www.gleacher.com Greenhill Greenhill is not part of any larger financial institution that provide clients with completely objective advice ... Read More

Www.securities.arkansas.gov
Recommendation or advice regarding securities should be given; or supervises employees who perform any of the The relationship of "independent contractor" between an investment adviser and a representative is not recognized under the Arkansas Securities Act. ... Document Viewer

The Cost Of Bad Financial Advice - Money Over 55 - Personal ...
Do you believe both stockbrokers and investment advisors have the same responsibility to act in your best interests? When searching for advice, Are Independent Financial Advisors Unbiased? Fiduciary Standard; ... Read Article

About McAlvany Wealth Management - McAlvany Financial Group ...
Is an SEC-registered investment advisor located in Durango, Colorado. Through its client focused, customized approach, MWM is committed to providing independent, well-researched, objective advice, and investment professionalism. ... View Video

Looking For Independent Super, Tax And Investment Advice ...
1 July 2012 Version 12.07 Page 1 of 2 Looking for Independent Super, Tax and Investment Advice? (this document constitutes a Financial Services Guide “FSG”) ... Access Full Source

DOL Issues Final investment advice Rules - PRS Home Page
Allocation models developed by an independent financial expert where an independent plan fiduciary chooses the investment options, The investment advice arrangement must be authorized by a plan fiduciary other than the person offering the ... Return Document

Study On Investment Advisers And Broker-Dealers
Investment advice about securities to retail customers that is consistent with the standard that currently applies to investment advisers. selected an independent financial adviser; executing trades placed by investment advisers ... View Doc

Improving Your Understanding Of The Retail Distribution ...
We have set a new standard for independent investment advice, aimed at ensuring the advice is genuinely independent and considers the broad range of products we would expect a firm giving independent advice to consider when making a recommendation. Aim ... Document Retrieval

May 13, 2009 A PROFESSIONAL CORPORATION The New Take On 404(c ...
Services companies and provide independent investment advice to retirement plans and participants. Its members agree to serve as fi duciaries to the plans they serve, charge level fees and disclose all expected fees in advance of an ... Access Full Source

Q: I Don’t Know Enough About investments. Is There An Easy ...
Independent financial experts will manage your retirement savings according investment advice in accordance with applicable laws. Morningstar Associates is a registered investment advisor and a subsidiary of Morningstar, Inc., neither of ... Access Content

Radar MiFID II Key Proposals And Impacts
Independent investment advice, will be banned.  Advice must meet certain criteria in order to be classified as ‘independent’ and additional information will need to be provided to clients. will also be able 1. firms ... Doc Viewer

Financial Adviser - Wikipedia, The Free Encyclopedia
In the United Kingdom investment advice is given either by a financial adviser or a stockbroker. independent, or fee-only. As the classifications suggest, tied advisers can only recommend 'financial products' marketed by the company they represent. ... Read Article

Retail Distribution Review: Independent And Restricted advice ...
Independent advice. 3 Shares in investment trusts and open-ended investment companies are captured by the retail investment product definition. Finalised guidance Retail Distribution Review: Independent and restricted advice Financial Services Authority Page 5 of 16 ... Fetch Doc

Richard N. Haass Answers 8 Questions 'This Week'
This week, we asked Richard N. Haass, president of the Council on Foreign Relations, to answer eight questions for us about the “fiscal cliff,” Israel, President Obama’s recent cabinet nominations and more. Check out our conversation below. 1) For those not familiar with the CFR, what ... Read News

The Standard Of Care For Investment Advice
Provides independent financial advice and typically receives a fee for that advice; governed by The Investment Advisers Act of 1940; legally obligated investment advice (“fiduciary” or “suitability”) needs to be clearly defined and the investing public educated; and ... Doc Retrieval

The Mutual Fund Store Announces Investment By Warburg Pincus ...
The Mutual Fund Store delivers independent fee-only investment advice to clients in more than 70 company-owned and franchised stores across the U.S. and its nationally syndicated radio program, "The Mutual Fund Show", which Bold hosts. ... Get Document

RDR: A Guide For Investors - Part Two - YouTube
Financial advice has never been free, With contributions from The Independent on Sunday's Julian Knight, Mark Atherton from The Times, Investment Week's Lawrence Gosling, Richard Wood from BRWM and Gill Cardy from IFA Centre. ... View Video

INVESTING FOR INDIVIDUALS - Allan Gray: Home
Of independent impartial investment advice for those who lack the knowledge and skill to make their own investment decisions unaided. If investors are not comfortable making their own investment decisions, or do ... Get Document

ULTRA-HIGH NET WORTH FAMILIES NOW FOCUS ON LIQUIDITY AND HAVE ...
In 2011 by Cambridge Associates, the global provider of independent investment advice and research to institutional and private investors. The multi-year survey focuses on family office compensation, governance and risk management practices. ... Fetch Document

DOL Releases Interim Guidance On Electronic Disclosure Of Fee ...
The recipient is encouraged to consult independent counsel before making any decisions or taking any action concerning the matters in this communication. investment advice exemption that would allow these well-positioned providers, among others, to offer ... Access This Document

The FSA’s Retail Distribution Review - The Chartered ...
In an effort to embed professionalism into the retail investment advice sector, the FSA propose making membership of a professional body a “safe harbour” for independent advice will have to be truly independent, and not undermined ... Fetch Content

Advice that independent advice is also available: it is likely to be clear from the investment advice from the firm or who has received investment advice in the previous 12 months. They are consulting on the following key areas: a) Commission Disclosure ... Doc Viewer

What Will A Good Investment Advisor Do For Me
Investment advice and financial planning are two different services. Here is what you should expect from an investment advisor. ... Read Article

ERISA For Money Managers: A Practical Workshop
• Arrangement must be disclosed to, and approved by, an independent plan fiduciary who must receive a current prospectus and full and detailed disclosure of the investment • “Investment Advice” (ERISA definition differs from federal ... Get Content Here

Find Qualified Advisors For Retirement Income And Estate Planning
Investment advice and financial planning are two different services. What should you expect from a good investment advisor? Here is what they should do for you. Independent financial advisors are compensated in many ways, and all can have biases. ... Read Article

Independent Financial Adviser - Wikipedia, The Free Encyclopedia
Independent Financial Advisers or IFAs are professionals who offer independent advice on financial matters to their clients and recommend suitable financial products from the whole of the A great many people saw strongly reduced investment returns from their endowments due to lower interest ... Read Article

Montford And Company, Inc. D/b/a Montford Associates, And ...
Claimed to provide “independent” investment advice. 6. Montford Associates’ Forms ADV – filed with the Commission in 2009 and 2010, and signed by Montford – included representations regarding Respondents’ independence. Item ... View Doc

How To Find A Financial Advisor - YouTube
If you're going to get financial advice, these are letters you might want to know. Category News & Politics. 5:26 20 Questions to ask your Investment Advisor by UBSCanada 2:41 Independent Financial Advisor by TheMillionaireCorner 6,138 views; 1:48 What your Financial Advisor ... View Video

Independent Investment Advice - Ross Graphic Solutions
916.783.8848 Wine & WedgesWine & Wedges 5 PM Sunday September 12, 2010 10:30 AM Check-In Monday 12:30 PM Shotgun September 13, 2010 Rancho Murieta Country Club ... Read Here