investment-adviser

The tax savings are often seen more as a way "to stretch their charity dollar," and not as a major factor in deciding whether or not to give, says Perry Moore of Payne Wealth Partners in Evansville, Ind., an investment-adviser firm that manages about $300 million.

News for Brokers, Wealth Managers and Their Clients Thomas Coyle 2011

The Securities and Exchange Commission, which regulates investment-adviser firms with at least $25 million in assets under management, doesn't track alleged frauds by the age of the victim.

Boomers Wearing Bull's-Eyes Kelly Greene 2011

I have rarely seen a brokerage account that doesn't cost two to three times more than an investment-adviser relationship, when all expenses are considered.

Phyllis Borzi Is on to Something Important for Investors 2011

The SEC's Investment Adviser Public Disclosure website , meanwhile, collects investment-adviser registration statements that give information about advisers' employment and regulatory histories.

Checking Up on Your Adviser Mary Pilon 2011

State and federal investment-adviser laws generally apply to financial planners, whose services typically include providing advice about securities, according to the study.

Consumer Issues on Financial Planners Remain, Says GAO Suzanne Barlyn 2011

The rise will allow Mr. Borg to add three employees to handle the investment-adviser work being outsourced by Washington.

In Alabama, Beware the Borg Jean Eaglesham 2011

Justice Alito said judges owed deference to the fee-setting decisions made by mutual-fund boards when "a board's process for negotiating and reviewing investment-adviser compensation is robust."

High Court Revives Case on Mutual-Fund Fees Brent Kendall 2010

Justice Alito said judges owed deference to the fee-setting decisions made by mutual-fund boards when "a board's process for negotiating and reviewing investment-adviser compensation is robust."

High Court Revives Case on Mutual-Fund Fees Brent Kendall 2010

Justice Alito said judges owed deference to the fee-setting decisions made by mutual-fund boards when "a board's process for negotiating and reviewing investment-adviser compensation is robust."

High Court Revives Case on Mutual-Fund Fees Brent Kendall 2010

Justice Alito said judges owed deference to the fee-setting decisions made by mutual-fund boards when "a board's process for negotiating and reviewing investment-adviser compensation is robust."

High Court Revives Case on Mutual-Fund Fees Brent Kendall 2010