Brown Advisory

SEPTEMBER 12, 2016

From our CEO: How We Help Clients Build Sustainable Portfolios. I also reflected on the confusing nature of this area with constantly changing word definitions, potentially conflicting investment goals and emotionally charged concerns often colliding with unintended results. Mon, 09/12/2016 - 08:16.

Portfolio 52

Portfolio Clients Investments Investing 52

Inside Information

DECEMBER 1, 2024

And that means that AI will only be unlocked when software engineers identify a fairly well-defined use case and ‘train’ AI to do certain repetitive functions within that definition. I’ve profiled another interesting solution—Greenboard—in this issue of the newsletter; it turns out that there’s a lot of rote work in compliance.

Engineering 40

Engineering Financial Planner Compliance Clients 40

The Big Picture

FEBRUARY 6, 2024

If you’re at all interested in focused portfolios, the concept of quality as a sub-sector under value and just how you build a portfolio and a track record, that’s tough to beat. And ev all the sort of compliance, client service, legal, kind of, everything was done sort of on the side by investment people.

Valuation 130

Valuation Investments Investing Assets 130

Sara Grillo

APRIL 19, 2024

Definitions on the internet are one thing, and what it actually says in the agreement is another. 2 Consider Advice-Only Planning The other thing you could do would be to hire an advisor to give you advice but not manage the portfolio. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

Financial Advisor 97

Financial Advisor Financial Advice Accounting Clients 97

Carson Wealth

SEPTEMBER 23, 2024

on Thursday after the rate cut, so this might be early, but it is most definitely off to a nice start. Full disclosure: we’re overweight these areas of the equity market in our model portfolios. A diversified portfolio does not assure a profit or protect against loss in a declining market. The S&P 500 jumped 1.7%

Marketing 96

Marketing Marketing Economy Economics 96

Sara Grillo

APRIL 11, 2022

We’re going to talk about how he provides high value as an hourly financial advisor by saving investors from the “Humpty Dumpty portfolio” and the lessons other advisors can learn about serving clients with simplicity, transparency, and integrity, whether they choose to adopt the hourly fee model or not.

Financial Advisor 52

Financial Advisor Portfolio Clients Management 52

Investment Writing

NOVEMBER 20, 2024

They want to understand their investments without learning the definitions to unfamiliar words,” according to “ New Word Order ,” part of the Invesco White Paper Series ( highlights available online ). Next, consider ways to satisfy the compliance department’s concerns. It’s entertaining.

Compliance 52

Compliance Communication Assets Investments 52

Carson Wealth

OCTOBER 7, 2024

A diversified portfolio does not assure a profit or protect against loss in a declining market. Compliance Case # 02444496_100724_C The post Market Commentary: Stocks in the Middle of Some Amazing Streaks While Job Growth Perks Up appeared first on Carson Wealth. away from being rounded down to 4.0%.

Marketing 96

Marketing Marketing Economy Economics 96

Carson Wealth

MARCH 11, 2024

Definitional issues around labor force participation (how the unemployment rate is calculated) and demographics (an aging society, with more people retiring every day) is why I prefer the prime-age (25-54 years) employment-population ratio. A diversified portfolio does not assure a profit or protect against loss in a declining market.

Marketing 97

Marketing Marketing Economy Retirement 97

Sara Grillo

OCTOBER 31, 2022

A Form ADV, according to definition by the SEC , is a legal document that anyone who is holding him or herself out as a professional financial advisor in the United States must file with the SEC, whether they are state or Federally registered. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

Financial Advisor 110

Financial Advisor Commission Clients Compliance 110

International College of Financial Planning

JUNE 14, 2023

Definition of an Investment Advisor In simple terms, an investment advisor actively provides investment-related advice to individuals, groups, or companies. It can involve guidance on buying or selling securities, portfolio management, and other relevant financial products. Investment advice can be delivered online or offline channels.

Investment Advisor 52

Investment Advisor Investments Investing Certification 52

Trade Brains

FEBRUARY 26, 2024

Source: RHP Strengths of the Investment Trust Sizeable portfolio of stable revenue: The Company has a portfolio of 7 highway assets of a cumulative length of 497 km. Geographically diversified portfolio: The InvIT consists of operational HAM assets that are diversified across five states of India. Investment Rs.

Government 59

Government Assets Transportation Portfolio 59

The Big Picture

FEBRUARY 28, 2023

Tell us a little bit about the giant portfolio of companies you guys are managing. So we manage a portfolio of several dozen companies. When you add together all of our portfolio companies, it’s effectively $100 billion enterprise — RITHOLTZ: Wow. You sit on the board of directors on a number of portfolio companies.

Investments 147

Investments Investing Clients Assets 147

Carson Wealth

JULY 8, 2024

A diversified portfolio does not assure a profit or protect against loss in a declining market. Compliance Case # 02311458_070824_C The post Market Commentary: Best Calendar Month Over the Last 20 Years Holding True appeared first on Carson Wealth.

Marketing 97

Marketing Marketing Economy Numbers 97

Carson Wealth

MAY 6, 2024

As mentioned previously, the prime-age (25-54 years) employment-population ratio gets around definitional issues that crop up with the unemployment rate (a person is counted as being unemployed only if they’re “actively looking for a job”) or demographics (an aging population with more people retiring and leaving the labor force every day).

Marketing 97

Marketing Marketing Economy Numbers 97

Brown Advisory

JUNE 14, 2017

2 The SEC’s Enforcement Division introduced the Municipal Continuing Disclosure Cooperative Initiative in early 2014 to encourage self-reporting of possible securities law violations, especially in situations when entities misrepresented their compliance with continuing disclosure obligations. The results were discouraging.

Compliance 52

Compliance Retail Clients Management 52

Brown Advisory

JUNE 14, 2017

The SEC’s Enforcement Division introduced the Municipal Continuing Disclosure Cooperative Initiative in early 2014 to encourage self-reporting of possible securities law violations, especially in situations when entities misrepresented their compliance with continuing disclosure obligations. The results were discouraging.

Compliance 52

Compliance Retail Clients Management 52

Carson Wealth

JUNE 12, 2023

At Carson, we aren’t crazy about this definition of a bull market. We’ve believed for a while now that the bear market ended in October, but the financial media prefer the 20% definition. A diversified portfolio does not assure a profit or protect against loss in a declining market.

Marketing 52

Marketing Marketing Economy Manufacturing 52

FMG

DECEMBER 22, 2022

I couldn’t pass up on the one-click compliance! I was considering building my own with a regular web designer, but as a solo advisor, I just don’t have time to get every single edit approved through compliance before going live. I create a lot of content and didn’t want “submitting things to compliance” to become a time suck.

Financial Advisor 52

Financial Advisor Compliance Clients Communication 52

Carson Wealth

MARCH 25, 2024

We like this definition from Forbes: A stock market bubble — also known as an asset bubble or a speculative bubble — is when prices for a stock or an asset rise exponentially over a period of time, well in excess of its intrinsic value. A diversified portfolio does not assure a profit or protect against loss in a declining market.

Marketing 97

Marketing Marketing Economy Manufacturing 97

Carson Wealth

SEPTEMBER 9, 2024

We like to look at the “prime-age” (25-54 years) employment-population ratio, since it gets around definitional issues that crop up with the unemployment rate (someone is counted as being “unemployed” only if they’re “actively looking for a job”) or demographics (an aging population with more people retiring and leaving the labor force every day).

Marketing 72

Marketing Marketing Economy Economics 72

Brown Advisory

AUGUST 14, 2023

Factor risk is best described as any exposure that can explain the portfolio returns other than the individual investments, such as a “theme” or a sector. In this example, the stock picking hardly matters anymore – the portfolio is predominantly a sector bet and hence has a large factor risk. Numbers may not total due to rounding.

Investments 52

Investments Investing Portfolio Accounting 52

Brown Advisory

APRIL 22, 2021

As sustainable investors, we engage current and potential portfolio companies in discussions about these risks, to help ensure that they are managing and mitigating them in a comprehensive manner. And if and when regulatory frameworks solidify, the compliance requirements may inadvertently lead to rising concentration risk in the industry.

Ethics 52

Ethics Compliance Government Clients 52

Brown Advisory

APRIL 22, 2021

As sustainable investors, we engage current and potential portfolio companies in discussions about these risks, to help ensure that they are managing and mitigating them in a comprehensive manner. Artificial Intelligence: Definitions. Beyond regulatory compliance, failure to protect data can result in meaningful financial expense.

Ethics 52

Ethics Compliance Government Clients 52

The Big Picture

NOVEMBER 14, 2023

There are a few people in the world who are more knowledgeable about the management of asset managers and what it’s like to actually run a global organization and interact with lots of aspects of the business of finance, whether that’s acquisitions or compliance, or dealing with all the legalities of multi-jurisdictional regulations.

Math 130

Math Management Insurance Assets 130

Sara Grillo

JANUARY 9, 2023

If somebody has a $500k portfolio and we just use a standard 1%, they’d be charged $5k a fee. The regulators don’t want an advisor charging $5k on a $100k portfolio because that is a 5% fee which is deemed unconscionable. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. What does that mean?

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

Trade Brains

APRIL 2, 2023

The growing costs within China (capital, operational, compliances) and Chinese factories closing due to environmental concerns. Apart from this the company also has major brands like M-Seal, Fevikwik, Fevistik, Roff, Dr. Fixit, Fevicryl, Motomax, Hobby Ideas, and Araldite in its portfolio.

Pharmaceutical 52

Pharmaceutical Manufacturing Sales Government 52

Brown Advisory

NOVEMBER 12, 2015

As always we look to balance your assets between a liquid operating fund for current needs, a core investment portfolio for long-term preservation or appreciation, and an opportunistic pool for timely investments, taking into account your long-term investment objectives as well as any nearterm requirements for funds.

Planning 52

Planning Taxes Distribution Medical 52

Sara Grillo

DECEMBER 12, 2022

And, if so, what fees are included in the definition of “all the fees.” It comes down to the client’s needs, what the strategy is going to provide for the client, and then we look at how we can efficiently affect how those costs hit that client in their portfolio.” – Charles King. Is that a fee? “It

Financial Advisor 52

Financial Advisor Commission Clients Insurance 52

Trade Brains

MAY 6, 2023

Worst Performing Stocks in India – Cox & Kings Indians have definitely come across this name if they were looking to book a sweet all-inclusive vacation throughout the country. The majority of the issues related to Yes Bank were related to corporate governance and compliance. Keep Reading to find out! Happy Investing!

Banking 52

Banking License Government Investments 52

The Big Picture

AUGUST 15, 2023

That’s a really easy portfolio to create. It allows you to understand, generally speaking, what is a reasonable beta for that whole portfolio. By the time I got there in ’92, they had a great venture portfolio and almost nobody else even understood what venture capital was. That allows you to do two things.

Management 130

Management Investments Investing Government 130

Brown Advisory

JANUARY 1, 2023

We think the quality of the investments within the portfolio today is probably at its highest since launch back in early 2015. We think our strategy of finding companies that do something special for their customers and deliver high return on capital for shareholders means we have great quality within the portfolio.

Investments 52

Investments Investing Valuation Clients 52

Inside Information

OCTOBER 30, 2021

The argument with the regulators is that the more they require all advisors (including, of course, wirehouse brokers who call themselves ‘advisors’) to behave as fiduciaries, the more likely investors will be to receive advice in their interests, quality investment counsel, low portfolio expenses and fewer conflicts getting in the way.

CFP 40

CFP Commission Investments Investing 40

Sara Grillo

MAY 23, 2022

Here is the definition of an advice-only financial planner: An advice-only financial planner is someone who provides only financial planning services. Financial planning is offered as a stand-alone product; it is the only thing that an advice-only financial planner does. I’m freaking out. Actually, multiple parts of Africa.

Financial Planner 52

Financial Planner CFP Financial Planning Education 52

The Big Picture

AUGUST 20, 2024

Initially I joined to help them manage their equity portfolio. Definitely 00:07:32 [Speaker Changed] True. 00:15:57 [Speaker Changed] Portfolio was 00:15:58 [Speaker Changed] The portfolio insurance components, right? So any compliance people listening, I’m just spitballing here. Luck is better.

Assets 173

Assets Management Portfolio Marketing 173

Sara Grillo

JUNE 20, 2022

Going on straight commission is definitely a pressur e-cooker and I would encourage anyone looking to start out as a financial advisor to consider programs like this that do not try to make you starve in order to motivate you to develop business. NATE PENHA: Souter.

Financial Advisor 52

Financial Advisor Sales Commission Clients 52

The Big Picture

MARCH 27, 2023

She was a partner and a portfolio manager at Canyon Capital, a firm that runs currently about $25 billion. The bonds aren’t worthless, but they’re definitely not trading at par. There are a ton of expenses, and they’re getting higher with compliance and marketing and reporting and investor relationship, et cetera.

Assets 285

Assets Investments Investing Management 285