Types of Clients. The majority of clients of London Stone Securities will be classified as retail clients which offers the greatest level of regulatory protection. However, depending on a number of factors including your experience, market knowledge and financial status, you may be classified as a professional client. Alternatively, you may choose to open an alternative type of account e.g. company account. Whilst London Stone Securities will advise you on the merits of each type of classification and make its own assessment as to your personal circumstances, it is your responsibility to ensure that you understand and agree to the classification and the level of regulatory protection that accompanies it. If you do not agree then you must raise this with your broker immediately.
Types of Clients. Confluence provides portfolio management services to individuals (including high net worth individuals) and entities such as financial institutions (on behalf of their clients), corporations and corporate pension and profit-sharing plans, Xxxx-Xxxxxxx plans, other investment advisers (on behalf of their clients), charitable institutions, foundations, endowments, municipalities, and registered investment companies. Confluence generally requires Advisor Based accounts (which are generally single contract or dual contract arrangements, including Wrap Account programs, offered through Financial Institutions) to have a minimum account value of $100,000 ($200,000 in the case of Balanced accounts and $50,000 for Asset Allocation strategies); Private Wealth accounts (which are generally high net worth individuals) to have a minimum account value of $500,000; and Institutional accounts to a have minimum account value of $5 million. Confluence allows firm personnel and their family members to maintain accounts that Confluence manages. Some Confluence employees also invest in the open-end mutual fund and closed-end fund that Confluence sub-advises. Confluence employees may suggest investment companies that Confluence sub-advises to certain clients. This presents a conflict of interest in that it could create an incentive for Confluence to favor these funds over other investment companies. Confluence maintains investment and trade allocation policies designed to manage such conflicts of interest. Item 8—Methods of Analysis, Investment Strategies and Risk of Loss METHODS OF ANALYSIS Confluence employs fundamental and cyclical security analysis methods, which vary by the type of portfolio strategy provided. Confluence’s Equity strategies, which are comprised of common equity securities of companies, utilize a bottom-up, fundamental approach. Confluence’s Asset Allocation and Fixed Income strategies, and the fixed income portion of our Balanced accounts , are implemented using exchange-traded funds (“ETFs”), and utilize a top-down, cyclical approach. An ETF is an individual security that trades on an exchange and represents a basket of securities or other assets that are typically designed to track the performance of targeted indices, sectors or asset classes. The firm’s Global Hard Assets strategy, which is primarily comprised of common equity securities and a portion of ETFs, utilizes a combination of the above two approaches. Confluence also manages sector-specific st...
Types of Clients. AdvisorNXT The Firm generally provides investment advice to individuals, high net worth individuals, families, trusts, corporations and business entities. Xxxxxxx generally imposes no minimum account size for the Personal and Professional service buckets, and a $25,000 minimum account size for the Premiere service, although this requirement may be waived from time to time at our discretion.
Types of Clients. The Program is available for individuals, banks and thrift institutions, pension and profit sharing plans, trusts, estates, charitable organizations, state and municipal government entities, corporations and other business entities. Certain funds available in the Program may not accept investment by non-resident accounts. EDUCATION AND BUSINESS STANDARDS LPL generally requires that individuals involved in determining or giving investment advice have at least two years financial planning, advisory or brokerage related experience. Each IAR is also generally required to possess a FINRA Series 6, 7, 65, or 66 license. EDUCATION AND BUSINESS BACKGROUND The education and business background for the preceding five years of key management personnel involved with investment advisory services are as follows: XXXX X. XXXXXX, born September 21, 1960; Indiana University, BS; DePaul University, MBA; President of LPL from 2003 to March 2007; Director of LPL from August 2004 to present; Interim CEO of LPL from August 2004 to December 2004; CEO of LPL from December 2004 to present; Chairman of LPL from January 2006 to present; member of Board of Governors of FINRA from June 2009 to present. XXXXXX X. XXXXXXX, born June 11, 1960; University of Chicago, BA; Chief Financial Officer of LPL from December 2004 to April 2005 and from September 2008 to March 2009; Chief Operating Officer of LPL from June 2004 to present; Director of LPL from February 2006 to present; President of LPL from March 2007 to present. XXXXXX X. XXXXX, born October 23, 1961; University of Texas, BBA; Xxxxxxx Graduate School of Management, Northwestern University, MM; CFO, Europe and Great Britain of Diageo PLC from January 2001 to August 2006; Chief Executive Officer and Chief Financial Officer of ABN AMRO North America and LaSalle Bank Corporation from Sept 2006 to March 2008; Managing Director, Finance of LPL from September 2008 to present; Chief Financial Officer of LPL from March 2009 to present. XXXXXXXXX X. XXXXX, born February 1, 1953; Bryn Mawr College, BA; Catholic University of America, JD; Managing Director and General Counsel of LPL from March 2004 to present.
Types of Clients. The Hyas Group provides investment consulting services to municipalities, corporate pension and profit-sharing plans, charitable institutions, foundations, endowments, and high net worth individuals.
Types of Clients. 🞏 Individuals 🞏 Retailers 🞏 Public bodies 🞏 Other (Details) Legal identity of the business: 🞏 Company 🞏 Partnership 🞏 Non-Profit Organization �� Other registered business (Details):
Types of Clients. 🞏 Individuals 🞏 Retailers 🞏 Public bodies 🞏 Other (Details) Types of suppliers: 🞏 Services 🞏 Raw materials 🞏 Other (Details): Types of product or services: Types of suppliers: 🞏 Services 🞏 Raw materials 🞏 Other (Details): Types of product or services: Activity outside of Israel: 🞏 None 🞏 Yes (Give details): Activity outside of Israel: 🞏 None 🞏 Yes (Give details): Joint account 🞏 Yes 🞏 No (no need to complete the questions in this section) Joint account 🞏 Yes 🞏 No (no need to complete the questions in this section) What is the nature of the relationship in the joint account? 🞏 Business partnership 🞏 family members 🞏 spouses 🞏 parent and child 🞏 grandparent and grandchild 🞏 Other (Give details): What is the nature of the relationship in the joint account? 🞏 Business partnership 🞏 family members 🞏 spouses 🞏 parent and child 🞏 grandparent and grandchild 🞏 Other (Give details): What is the reason for the creation of a joint account? 🞏 business consideration 🞏 for reasons of family convenience 🞏 commercial family reasons 🞏 by virtue of the law (inheritance, estate, court order) 🞏 Other (Give details): What is the reason for the creation of a joint account? 🞏 business consideration 🞏 for reasons of family convenience 🞏 commercial family reasons 🞏 by virtue of the law (inheritance, estate, court order) 🞏 Other (Give details): Are you involved in taking decisions/giving instructions in the account? 🞏 Yes 🞏 No Are you involved in taking decisions/giving instructions in the account? 🞏 Yes 🞏 No Can all partners operate independently in the account? 🞏 Yes 🞏 No, only some partners can legally bind the account independently, but I am not one of those who can Can all partners operate independently in the account? 🞏 Yes 🞏 No, only some partners can legally bind the account independently, but I am not one of those who can Do the funds in the account belong to all the partners? 🞏 Yes 🞏 No, the funds in the account only belong to some of the partners and I am not one of those 🞏 No, the funds in the account only belong to some of the partners, of whom I am one Do the funds in the account belong to all the partners? 🞏 Yes 🞏 No, the funds in the account only belong to some of the partners and I am not one of those 🞏 No, the funds in the account only belong to some of the partners, of whom I am one Trust account 🞏 Yes 🞏 Not a trust account (no need to complete the questions in this section) Trust account 🞏 Yes 🞏 Not a trus...
Types of Clients. We provide advisory services to the following types of clients: Individuals (other than high net worth individuals) High net worth individuals Pension and profit sharing plans Charitable organizations Corporations or other businesses not listed above We have no minimum requirements for opening or maintaining accounts. Item 8 Methods of Analysis, Investment Strategies and Risk of Loss METHODS OF ANALYSIS Each Investment Professional may use any or all of the following methods of analysis in identifying attractive investment opportunities or determining an investment program for the client. Clients should review with each Investment Professional the specific methods of analysis being used for the client’s portfolio.
Types of Clients. Xxxxxxxx Advisors provides investment advisory services to individuals, high net worth individuals, pension and profit sharing plans, and business entities. Xxxxxxxx Advisors does not require account minimums for its advisory services.
Types of Clients. SPARROW generally provides investment advice to the following types of accounts: o Individuals o Banks o Thrift Institutions o Investment Companies o Pension and Profit Sharing Plans o Trusts o Estates o Charitable Organizations o Corporations o Limited Partnerships o Wrap Fee Programs SPARROW Managed Accounts: Services in opening and maintaining an account the range is $100,000 or more of assets for managed accounts; however, smaller accounts are accepted. Mutual Funds Please refer to the Sparrow Funds Prospectus for account minimums. Private Fund Please refer to the SPLP Private Placement Memorandum (PPM) for information about the investment minimums of the Private Fund. Item 8. Method of Analysis, Investment Strategies and Risk of Loss: Large-Cap Investment Strategy SPARROW believes that a portfolio composed of large-cap growth stocks that are fully diversified across major economic sectors could provide investment returns that exceed market
