The SEC Adopts Amendments to Form ADV Part 2 – The New Brochure RulesJohn M. CacciaHeather CruzThomas A. DeCapoLawrence D. FrishmanPhilip H. HarrisMichael K. HoffmanRichard T. PrinsAnastasia T. RockasJames M. SchellKristine M. Koren
Form ADV Part 2A and 2B Investment Advisor Brochure and Brochure Supplement March 15, 2022 Item 1: Cover Page Name of Firm Address Phone Number Website Address E-mail Address Dorsey, Wright & Associates, LLC 3300 W. Leigh Street, Richmond, VA, 23230 (804) 320-8511 www.dorseywright.com ...
Part 2A of Form ADV: Firm Brochure Material Changes Todd Asset Management LLC 101 S 5th Street Suite 3100 Louisville, KY 40202 Telephone: (502) 585-3121 Web Address: www.ToddAsset.com March 20, 2025 Item 2 Material Changes This Firm Brochure dated March 20, 2025, provides you with a ...
Summary of Material Changes to Part 2A of Form ADV: Firm Brochure Congress Asset Management Company, LLP 2 Seaport Lane 5th Floor Boston, MA 02210 Telephone: 617-428-4300 Email: info@congressasset.com Web Address: www.congressasset.com March 20, 2025 This Firm Brochure (or "Brochure")...
Harris manages such program accounts in accordance with the investment policies and any instructions from, and reasonable investment restrictions imposed Harris Associates L.P. Page 4 of 28 Form ADV Part 2A: Firm Brochure by, the client. The program sponsor generally pays Harris a fee based on ...
For additional information about the investment advisory services provided by Parametric, we encourage you to first contact your financial representative. To obtain up-to-date information or request a copy of the firm’s Client Relationship Summary or firm’s brochure, please contact us directly at ...
If no, complete the ADV Part 2 filing below. Amend, retire or file new brochures: Brochure ID 322494 322495 Brochure Name WEALTHFRONT ADVISERS 529 COLLEGE SAVINGS PLAN WRAP FEE PROGRAM BROCHURE APRIL 28, 2021 WEALTHFRONT ADVISERS FORM ADV PART 2A / 2B APRIL 28, 2021 Brochure Type(s) ...
For federally registered investment advisers, the narrative brochure must address eighteen topics the SEC believes are most relevant to clients when evaluating and comparing advisers. The items in the narrative brochure are drawn largely from disclosure advisers have long been required to make in ...
The examination is intended to provide a basis for state securities administrators to determine an applicant's knowledge and understanding of state law and regulations.Jeffery Scott Preston
Kelly can select between which RIA he recommends. He can recommend clients place assets at LPL as his broker-dealer or in various insurance products offered by LPL's insurance agency. Mr. Kelly may have a conflict of interest in that this practice may provide an incentive to recommend ...