E*Trade slashes stake in RAA Wealth Management Feb 12, 2008
PHH is a Texas-based registered investment adviser specializing in financial planning for airline crew members. The transaction and unrelated deals under contract are expected to be completed in the next 90 days. (Globe and Mail -- Business)
Boston company buys Parker Ranch Center Jan 18, 2008
Intercontinental Real Estate Corporation is an SEC registered investment adviser which has developed, managed and owned over $4 billion in commercial, mixed use, hotel, recreational and residential real estate projects. Intercontinental owns and manages a portfolio in excess of $1. (Pacific Business News, HI)
Supply concerns push up crude oil prices Dec 27, 2007
Pacificor is a registered investment adviser that manages several hedge funds focused on high-yield debt. Its clients are high-net-worth individuals and institutions, with the minimum investment being $1 million. (San Diego Union-Tribune -- Business)
Successor named after chief's death Dec 27, 2007
Pacificor is a registered investment adviser that manages several hedge funds focused on high-yield debt, the company website says. AP. (Sydney Morning Herald -- Business)
Hedge fund company names new leader after fatal plane crash Dec 27, 2007
Pacificor is a registered investment adviser that manages several hedge funds focused on high-yield debt, according to the company Web site. Its funds target distressed and special-situation investments, Benjamin said. (San Diego Union-Tribune -- Business)
U.S. Global Investors pays out dividends, capital gains Dec 22, 2007
U.S. Global (NASDAQ: GROW) is a San Antonio-based registered investment adviser that focuses on niche markets around the world. The company offers financial solutions and provides advisory, transfer agency and other services. (San Antonio Business Journal, TX)
Financial tip for end of the year Dec 12, 2007
Elaine Morgillo, a registered investment adviser and certified financial planner, is the president of Morgillo Financial Management, Inc., a company that has offices in both York and North Andover, Mass. Morgillo resides in York. (Seacoast New Hampshire)
Do As I Say, Not As I Do Nov 19, 2007
The easiest way to do that was to develop wrap account, where the client still did his trading with the broker but the investment ideas came from an outside registered investment adviser recommended by the brokerage firm. The brokerage bundled together the commissions on the transactions and marked up the RIA's fees to make an additional profit. (Forbes)
Carlyle Capital Corporation Reports Third Quarter Results Nov 15, 2007
CIM is a registered investment adviser under the U.S. Investment Advisers Act of 1940 and is an affiliate of The Carlyle Group. This press release does not constitute or form part of any offer or invitation to sell or issue, or any solicitation of any offer to purchase or subscribe for, any shares or other securities of Carlyle Capital Corporation Limited. (PR Newswire)
Rabble-rouser Nov 12, 2007
Daughter Rachel is a registered investment adviser and Mr. Merry's partner in the firm. Mr. Merry's family supports his civic involvement, though their interest level is much more casual. (The Augusta Chronicle)
The New America Nov 4, 2007
Though the number of Schwab brokers pales to Merrill Lynch's army, Schwab's registered investment adviser network is the largest of any. About 5,000 independent advisers use Schwab for custodial, operational and trading support. (Investors Business Daily)
Providian Bank poised to enter market in spring '08 Oct 29, 2007
It already has $35 million in assets under management, totaling $200,000 in annualized revenue, through its holding company, Providian Bancorp Inc., a registered investment adviser. "Unbeknownst to many of you, we are up and operating in the wealth management business," Providian's top three executives told their 155 shareholders in a recent letter. (St. Louis Business Journal, MO)
Shore Bancshares Reports Third Quarter Earnings Oct 19, 2007
It is the parent company of three banks, The Talbot Bank of Easton, Maryland, The Centreville National Bank of Maryland, and The Felton Bank; two insurance producer firms, The Avon-Dixon Agency, LLC and Elliott Wilson Insurance, LLC; an insurance premium finance company, Mubell Finance, LLC; and a registered investment adviser firm, Wye Financial Services, LLC. Forward-Looking Statements This press release may contain forward-looking statements as defined by the Private Securities Litigation... (PR Newswire)
NextSteps: Is Dad's secret advisor preying on him? Oct 18, 2007
Is he a registered investment adviser. Does he hold insurance and/or securities licenses. (Pittsburgh Post-Gazette, PA)
Local businessman plans to develop proposal for downtown La Crosse hotel Oct 13, 2007
He said he is a financial planner and registered investment adviser, has been a teacher and recently graduated from a Trump real estate investor training program. Weber said he plans to work with a team of Trump advisors to develop a hotel proposal. (La Crosse Tribune, WI)
SEIU ramping up efforts to organize hospital workers Sep 20, 2007
Carey came from Fidelity Investments Institutional Services where he led national accounts and was responsible for institutional relationship management, registered investment adviser services, investment consulting services, and consultant relations. (Dow Jones). (Boston Globe)
StockGuru.com Announces Profile Coverage of PSM Holdings Sep 19, 2007
Pentony Enterprises is not a registered investment adviser or a broker/dealer. Pentony Enterprises LLC makes no recommendation that the purchase of securities of companies profiled in this web site is suitable or advisable for any person, or that an investment in such securities will be profitable. (Primezone Releases)
U.S. Global Investors doubles monthly stock dividend Sep 15, 2007
U.S. Global is a registered investment adviser with an average $5. 02 billion in assets under management as of June 30, 2007. (San Antonio Business Journal, TX)
Muni Bonds Gain Appeal with ETFs Sep 15, 2007
The municipal bond ETFs "are a welcomed addition because they will bring transparency to a market that is notoriously opaque," wrote Rudy Aguilera, a founding principal of Helios and a registered investment adviser in Orlando, Fla. in a Sept. 10 blog post. (MSNBC -- Business)
Make Even Lousy 401(k) Choices Work In Your Favor Sep 11, 2007
"There are still very few 401(k) plans with a lot of investment options we'd enthusiastically recommend," said Paul Merriman, of Merriman Capital Management, a registered investment adviser in Seattle. So what if you're defined-contribution plan at work features a lineup of mutual funds that seems lackluster. (Fox News)
Astoria 'lawyer' stole investors' $6M: DA Aug 31, 2007
Friday, August 31, 2007. NewsEntertainmentOpinionShoppingSpecial SectionsGuide to QueensReader ServicesFun and Games. (Astoria Times, NY)
Fresno calm in volatile market Aug 18, 2007
"In the short term, it's not going to be fun," said Dorrance, a registered investment adviser with Associated Financial Advisors Ltd.Thursday's ride was a wild one, with the Dow Jones industrial average dropping more than 300 points before recovering to close just 16 points down for the day. This follows weeks of losses in which Wall Street's major indexes -- the Dow, the Sand Nasdaq -- have dropped sharply. (Fresno Bee -- Local)
Equus Total Return, Inc. Announces Appointment of Kenneth I. Denos as Chief Executive Officer and Brett M. Chiles as Secretary Aug 11, 2007
Since 2005, he has served as Assistant Vice-President of Moore Clayton Capital Advisers, Inc. ("MCCA"), the Fund's registered investment adviser. Prior to joining MCCA, Mr. Chiles served as Internal Wholesaler for AIM Investments from 2000-2003 and he obtained an MBA from Rice University. (PR Newswire)
Arbitration process often favors the house Jun 17, 2007
The larger the award and the bigger the brokerage firm, the smaller the recovery, according to the study conducted by Daniel R. Solin, a securities arbitration attorney and registered investment adviser with Index Funds Advisors, and Edward S. O'Neal, a principal with Securities Litigation and Consulting Group Inc. O'Neal is also a former faculty member at the Babcock Graduate School of Management at Wake Forest University. "This study paints an alarming picture of a steadily worsening situation... (Boston Globe)
Fidelity wealth referral plan bets on returns down the road Jun 12, 2007
Those clients are directed to a list of preferred wealth managers who use Fidelity's platform of products and services geared toward registered investment advisers ... "There were a number of firms, as you can imagine, that wanted to participate in this," said Scott Dell'Orfano, an executive vice president in Fidelity's registered investment adviser group and the person overseeing the referral program ... Rockland Trust's Smith agrees, and laments Fidelity's registered investment adviser... (MSNBC -- Business)
Brokers limited in role Jun 12, 2007
Registered investment advisers Investors who want advice can pay a brokerage firm a fee to have their account overseen by a registered investment adviser ... registered investment advisers are allowed to make discretionary trades on behalf of their clients, as long as they meet overall goals, objectives and tolerance for risk ... "Unlike stockbrokers, and registered investment advisers, they are qualified to help clients with a complete range of financial issues retirement, business succession,... (Seacoast New Hampshire)
The blunt facts aboutparabolic spikes May 26, 2007
Doug Wakefield is president of Best Minds Inc, a registered investment adviser. (Copyright 2007 Best Minds Inc.). (Asia Times Online)
Who's who in the race for city council May 3, 2007
He is a Realtor, Certified Public Accountant, Registered Investment Adviser, Chartered Financial Analyst Level II Candidate. Why should voters vote for you. (McKinney Courier-Gazette, TX)
401(k)s: The Hidden Fees Apr 26, 2007
About half of the top 50 vendors in the 401(k) field are insurance or insurance-related firms, and they frequently offer annuity products, says Ken Weber, a registered investment adviser with Weber Asset Management, based in Lake Success, N.Y.. Annuities are complicated financial products with contracts that often run 30 to 40 pages. (BusinessWeek)
Third Point Demands that PDLI's Board Immediately Retain a Financial Advisor, that CEO Mark McDade Resign and that Third Point Nominees be Granted Board Seats Promptly Apr 18, 2007
Sincerely, Third Point LLC About Third Point LLC Third Point LLC, founded by Daniel S. Loeb in 1995, is a registered investment adviser based in New York with over $4. 5 billion of assets under management. (PR Newswire)
Marathon Asset Management and the Marathon Automotive Group Close Acquisition of CONTECH Apr 17, 2007
Marathon Asset Management LLC is a Registered Investment Adviser with the Securities and Exchange Commission. For more information, visit the company's web site at. (PR Newswire)
Market Advisors Issues 12-Month Price Target of $1.95 for CTLG Apr 13, 2007
He was a registered investment adviser from 1983 to 1999. Jeff was co-editor of the Marketarian Letter, a nationally syndicated stock market newsletter, which had been consistently ranked as one of the top- performing investment newsletters in the nation. (Yahoo! Wire -- Entertainment News)
Major PDL BioPharma shareholder wants CEO out Apr 12, 2007
Third Point, a registered investment adviser, says its owns a 9. 7 percent stake in the company. (San Jose Business Journal, CA)
Ask an expert Mar 25, 2007
If you still have questions, schedule a consultation (for a fee) with a registered investment adviser to receive expert advice. Dale Russell, CFP. (Orlando Sentinel -- Business)
SEC Allows Manipulation of Auction-Rate Market When Firms Disclose Intent Mar 17, 2007
You make your point, you collect your money and everyone goes on as they were before,'' said Richard Lehmann, a registered investment adviser in Miami Lakes, Florida, and president of Income Securities Advisors Inc., regarding the SEC's action. That's the way a lot of compliance is. (Bloomberg)
Local Experts: Stock Woes Won't Last Long Feb 28, 2007
Chas Smith, a certified pubic accountant in Lakeland and a registered investment adviser, said Monday's "panic selling" was precipitated by a big dip in the Chinese market, but former Federal Reserve Chairman Alan Greenspan didn't help. "He said a recession was possible later this year," Smith said. (The Ledger)
Third Point Proposes Six Nominees to the Board of Directors of Pogo Producing Company Feb 24, 2007
About Third Point LLC Third Point LLC, founded by Daniel S. Loeb in 1995, is a registered investment adviser based in New York with over $4 billion of assets under management. In connection with their intended proxy solicitation, Third Point LLC and certain of its affiliates intend to file a proxy statement with the Securities and Exchange Commission (the "SEC") to solicit stockholders of the Company. (PR Newswire)
U.S. Global Investors shareholders approve stock split Feb 22, 2007
U.S. Global Investors is a registered investment adviser with an average $4. 74 billion in assets under management as of Dec. 31, 2006. (San Antonio Business Journal, TX)
Bradenton attorney's clients are real animalsPost aComment Feb 18, 2007
Tom Breiter is the president of Breiter Capital Management, Inc., and a registered investment adviser. He can be reached at (941) 778-1900 or by e-mail at. (Bradenton, FL -- Business)
Alphabet Soup Feb 17, 2007
He's a registered investment adviser (RIA), who's filed his broker-dealer credentials with the Securities and Exchange Commission (SEC), but he'll be the first to tell a prospective client that it isn't so much what he's done as what they need from a financial professional. "Don't just buy a designation. Understand what you want and compare and obtain disclosure," he says. (SmartMoney)
U.S. Global Investors' profits double with rise in funds under management Feb 9, 2007
U.S. Global is a registered investment adviser that manages 13 no-load mutual funds. Extra. (San Antonio Business Journal, TX)
The Standard's RightPath Program Surpasses One Billion Dollars in Assets Feb 8, 2007
With AdvicePath, participants' investments and contribution levels are managed by StanCorp Investment Advisors, Inc., The Standard's registered investment adviser. Seventeen percent of employees enrolling in the RightPath program were not previously contributing to an employer-sponsored retirement plan. (PR Newswire)
Home Depot escapes proxy battle Feb 6, 2007
San Diego-based Relational is a registered investment adviser with a reputation for starting proxy battles. In December, Relational it had become a Home Depot (NYSE: HD) shareholder, with its affiliates owning about 13 million shares of Home Depot's common stock -- roughly 0. (Atlanta Business Chronicle, GA)
Pershing Square Capital Management Comments on Ceridian's Response to Its Nomination of an Alternative Slate of Directors Jan 25, 2007
With respect to the company's January 23rd press release and its statement that Pershing "inaccurately characterized a number of comments by Ceridian's Chief Executive Officer" in its meeting on January 12th, Mr. Ackman stated: "Rather than participate in a 'he said, she said' dialogue about our previous meeting, we prefer to focus on the future of Ceridian under improved governance and better alignment with shareholders' interests. As an owner of more than 11% or $450 million of Ceridian's... (PR Newswire)
Financial advice better from fiduciary than broker Jan 15, 2007
The Investment Advisors Act of 1940 obligates registered investment advisers (RIAs) to behave as fiduciaries ... Do you know if you are using a broker, a registered investment adviser, an insurance agent, or somebody else. (San Diego Union-Tribune -- Business)
China To Dominate Asia IPOs Jan 5, 2007
" That's a big jump from this year. Stripping out ICBC's and Bank of China's giant offerings this year, China has raised US$12.1 billion in IPOs ahead of Hong Kong listings so far in 2006 from 103 issues while India has raised US$3.3 billion from 62 issues, according to Thomson Financial. "While the absence of big IPOs out of China will bring the total amount of issuance down, the number of companies seeking listings should stay roughly the same, as the economy is booming," said Edward Wu, who... (egoli.com.au)
