| ||
| ON THE MOVE-LPL lands advisory team with $1.5 bln assets Reuters Ingham, headquartered in Miami, has 12 investment advisers in its team of 50 members, which also includes actuaries, attorneys, accountants, fiduciary analysts and compliance administrators. The firm was founded in 1972. It is led by Kenneth Ingham, ... See all stories on this topic » | ||
| Kenneth Petersen: Financial adviser compensation Monterey County Herald Q: I am looking for a financial adviser and am confused about how various financial advisers are compensated. Some claim to be fee-based, but they receive commissions for the investments they sell. What should I know? A: There are two obvious sources ... See all stories on this topic » | ||
| DoubleLine Opportunistic Credit Fund Declares May 2013 Distribution Sacramento Bee About DoubleLine Capital LP DoubleLine Capital LP, a registered investment adviser under the Investment Advisers Act of 1940, acts as the investment adviser for Fund. DoubleLine Capital and its affiliates ("DoubleLine") manage approximately $59 billion ... See all stories on this topic » | ||
| ||
| The DAK Group Strengthens Focus on Middle-Market M&A; Adds NYC ... The Herald | HeraldOnline.com The DAK Group Strengthens Focus on Middle-Market M&A; Adds NYC Investment Bank Goldmark Advisers. Published: May 1, 2013. 2013-05-01T19:19:46Z. Tweet · 0 Comments E-mail Print. Advertisement ... See all stories on this topic » | ||
| Simpson Thacher | SEC and CFTC Jointly Adopt Rules Requiring Certain ... Linex Legal (registration) (press release) The SEC's Rules apply to any SEC-registered investment adviser, investment company or broker-dealer that meets the definition of a "financial institution" or "creditor" under the Fair Credit Reporting Act and the CFTC's Rules apply to commodity pool ... See all stories on this topic » |
| ||
| Capital Markets Consortium - examination of investment advisers One of the many items of unfinished business in the wake of Dodd-Frank Act is the examination of investment advisers. The SEC found in its 2011 study that ... www.cmconsortium.com/investment-adviser-legislation |
This once a day Google Alert is brought to you by Google.
Delete this alert.
Create another alert.
Manage your alerts.