Advisory Entity definition

Advisory Entity means a public entity that does not have any function to exercise other than the provision of advice or a report to any person or body;

Advisory Entity means each of X. Xxxx Price, Fidelity and Viking.

Advisory Entity means each of Xxxxxxx Xxxxxxx, Fidelity and Wellington.

Examples of Advisory Entity in a sentence

• The Company and Advisory Entity shall consult with Parent regarding all written communications with Advisory Clients concerning the obtaining of such assignments.

• Securities issued by any mutual funds for which a GMO Advisory Entity serves as an investment adviser, sub-adviser or principal underwriter are exempt from pre-clearance requirements as set forth in Part II.B.1 of this Code, but subject to quarterly transaction reporting and annual holdings disclosure as set forth in Part II.B.4 of this Code.

• The Advisory Entity has adopted written policies and procedures reasonably designed to prevent violation by the Advisory Entity and its supervised persons of the Advisers Act and the rules thereunder in compliance with Rule 206(4)-7 of the Advisers Act, except as would not reasonably be expected to have, individually or in the aggregate, a Material Adverse Effect.

• Neither the Advisory Entity nor any “person associated with an investment advisor” (as defined in the Investment Advisers Act) of the Advisory Entity is ineligible pursuant to Section 203 of the Investment Advisers Act to serve as an investment advisor or as a person associated with a registered investment advisor.

• The accounts of each Advisory Client subject to ERISA have been managed since January 1, 2008 by the Advisory Entity in compliance with the applicable requirements of ERISA.

More Definitions of Advisory Entity

Advisory Entity has the meaning assigned in Section 5.03(v).

Advisory Entity means each of X. Xxxx Price, Wellington, Blackrock, Capital Group and Sands Capital.

Advisory Entity has the meaning set forth in Section 5.02(hh)(i).

Advisory Entity means each Subsidiary of the Company that is registered, licensed or qualified or required to be registered, licensed or qualified as an investment adviser with the SEC or other applicable Government Authority, including Ladenburg Txxxxxxx Asset Management, Inc., Investacorp Advisory Services, Inc., KMS Financial Services, Inc., Triad Advisors, LLC, Triad Hybrid Solutions, LLC, Securities America Advisors, Inc., Arbor Point Advisors, LLC, and SSN Advisory, Inc.

Advisory Entity means (i) the General Partner, (ii) RD Capital, Inc. (iii) Acadia Management Company LLC and (iv) any Affiliate of any of the Persons listed in clauses (i) through (iii) above. The term control, as used in the preceding sentence, shall have the same meaning as in the definition of Affiliate as set forth in Section 1.1.

Advisory Entity means X. Xxxx Price as to the X. Xxxx Price Investors, Wellington as to the Wellington Investors, and Xxxxxxx Xxxxxxx as to the Xxxxxxx Xxxxxxx Investors.

Advisory Entity means Rothschild and Sovereign, each of which is --------------- registered under the Advisers Act.