U.S. Global reports improved results Nov 7, 2009
San Antonio-based U.S. Global (NASDAQ: GROW) is a registered investment adviser. Most Read Stories. (San Antonio Business Journal, TX)
SouthernSun intros small cap mutual fund Oct 20, 2009
SouthernSun Asset Management is a Memphis-based registered investment adviser that manages almost $1. 3 billion in assets. (Memphis Business Journal, TN)
Harris Honored for Equitable LGBT Policies, Practices Sep 16, 2009
Harris(R) is a trade name used by various financial service subsidiaries of Harris Financial Corp. Banking products and services are provided by Harris N.A., The Harris Bank, N.A. and their bank affiliates, Members FDIC. Brokerage products are offered through Harris Investor Services, Inc. (HIS), a registered broker/dealer, member FINRA/SIPC, and SEC-registered investment adviser ... Financial planning and investment advisory services are provided by Sullivan, Bruyette, Speros & Blayney, Inc.,... (PR Newswire)
In These Golden Years Sep 11, 2009
NOTE: Fabian Wealth Strategies is an SEC registered investment adviser, and is not affiliated with Eagle Publishing. On Overcoming Weakness. (Human Events Online)
The Chile Fund, Inc. Announces Record Date and Payment Date for Quarterly Distribution Sep 5, 2009
Aberdeen Asset Management Investment Services Limited is a registered investment adviser under the Investment Advisers Act of 1940. SOURCE The Chile Fund, Inc.. (PR Newswire)
OOK Advisors will launch Texas fund Sep 3, 2009
OOK is a registered investment adviser based in Oklahoma City. The fund will trade on the New York Stock Exchange under the proposed ticker symbol TXF.. (San Antonio Business Journal, TX)
The Recovery and the China Syndrome Aug 20, 2009
NOTE: Fabian Wealth Strategies is an SEC registered investment adviser, and is not affiliated with Eagle Publishing. The Power of Ideas. (Human Events Online)
Banks' Wire House Deals Spur Exodus of Advisers Aug 4, 2009
Some are going to the employee units of smaller brokerage firms, and others to registered investment adviser firms. Just more than a year ago, and , former managing directors at Morgan Stanley Global Wealth Management Group, founded in Purchase, N.Y.. (American Banker)
Business People Aug 2, 2009
Dowling e LLC is an independent, fee-only registered investment adviser providing Southern California with portfolio management and retirement planning. Visit. (North County Times)
Still a Bull Market Skeptic Jul 30, 2009
NOTE: Fabian Wealth Strategies is an SEC registered investment adviser, and is not affiliated with Eagle Publishing. ETF Talk: Seeking a Gusher in Oil. (Human Events Online)
Not all financial planners put you first - so find out which kind you're using Jun 18, 2009
You didn t say whether yours is a certified financial planner (one who s earned this CFP designation from the Certified Financial Planner Board of Standards), a registered investment adviser or RIA (who must register with the Securities and Exchange Commission and/or state regulators), or some other type. If you don t know, find out now. (Boston Globe)
Vaadin 6 Server-Driven RIA Framework Announced - the Next Generation of IT Mill Toolkit May 25, 2009
We can prepare your broker/dealer or registered investment adviser financial statements in accordance with GAAP and SRO rules. Leaders in user interface user experience research. (Yahoo News -- Press Releases)
Financial adviser firm changes corporate name May 17, 2009
com PMFM Inc., a registered investment adviser firm in Athens, has changed its corporate name to Stadion Money Management ... PMFM Inc., a registered investment adviser firm in Athens, has changed its corporate name to Stadion Money Management. (Athens Banner-Herald)
U.S. Global CEO says 'worst is behind us' May 9, 2009
San Antonio-based U.S. Global is a registered investment adviser that focuses on profitable niche markets around the world. Reader Comments. (San Antonio Business Journal, TX)
Robinson hired to lead CSGs private client division Apr 30, 2009
I went through the regulatory change I think is out there in the forefront for the registered investment adviser, he says. Robinson comes at a time when the regulatory environment has cast a pall over CSG, or at least gotten it negative exposure and put it on the defensive. (Memphis Business Journal, TN)
Goldman Sachs Swats Pesky Gripe Site Apr 15, 2009
com, Morgan, a registered investment adviser who said he once consulted for Goldman on real estate issues, said the firm is trying to shut him down for reasons that extend beyond alleged trademark infringement. "They don't want Web sites out there that are saying the truth about them," Morgan said. (ABC News -- Business)
> Business Profile: Excelcia is a small firm with big financial advice Apr 9, 2009
The firm s associates offer services as investment adviser representatives of a federally registered investment adviser, AFA Advisor Services LLC.. CUSTOMERS: Services are provided to business owners, executives and other high-net-worth individuals who typically have assets greater than $500,000. (San Jose Business Journal, CA)
Frisco-area investor buys 22.4% of MGIC Mar 14, 2009
Eastbourne Capital Management said it is a West Coast-based registered investment adviser that employs an investment philosophy based on intensive research, a long-term outlook and a belief in working alongside portfolio companies to enhance shareholder value. Eastbourne s Web site said the firm does not seek board representation, change or influence of any company in which it invests except in very unusual circumstances. (Milwaukee Business Journal, WI)
Business Whirl: Fairbanks joins Bona Fide Construction Mar 8, 2009
He holds licenses in a variety of investment sectors, is a registered investment adviser and has insurance licenses. Cook now director of Chiropractic Works. (Athens Banner-Herald)
UB alum charged in $500M fraud Feb 28, 2009
and (Westridge), which is a registered investment adviser located in Santa Barbara, Calif. After appearing in a Manhattan court Feb. 25 the men were released on $7 million bond. (Buffalo Business First, NY)
IPERS funds 'at risk' Feb 25, 2009
Westridge Capital Management, a registered investment adviser, completes transactions through WG Trading, a registered investment broker-dealer. Economaki said concerns came to light earlier this month when the National Futures Association, an organization that regulates its own members, suspended the trading capabilities of two individuals who are principals in both WG Trading and Westridge Capital Management and who have not provided documents requested by the NFA.. (Waterloo-Cedar Falls Courier)
State treasurer: IPERS has at least $300M at risk (1384) Feb 24, 2009
Westridge Capital Management, a registered investment adviser, completes transactions through WG Trading, a registered investment broker-dealer. Economaki said concerns came to light earlier this month when the National Futures Association (NFA), an organization that regulates its own members, suspended the trading capabilities of two individuals who are principals in both WG Trading and Westridge Capital Management and who have not provided documents requested by the NFA.. (Waterloo-Cedar Falls Courier)
IPERS wants $339 million back from investment firm Feb 24, 2009
a registered investment adviser that has managed about 2 percent of IPERS' investment portfolio since March 2007. The California firm completes transactions through WG Trading, a registered investment broker-dealer. (Sioux City Journal)
Finding an Adviser You Can Trust Feb 21, 2009
You want a registered investment adviser who, by law, has officially pledged to put a client's interests first what's called a fiduciary. Your biggest risk isn't the stock market; your biggest risk is bad or unethical advice when you invest in the stock market. (BusinessWeek)
HighMark Funds and North Track Funds Announce Transaction Feb 18, 2009
San Francisco-based HighMark Capital Management, Inc. (HCM), a registered investment adviser, is a wholly-owned subsidiary of Union Bank, N.A., with over $17 billion in assets under management for individual and institutional investors worldwide. HCM is also the adviser to the HighMark Funds, with 24 individual funds and over $8 billion in assets. (PR Newswire)
