Sara Grillo

JULY 8, 2022

Others that require a more detailed response will either get forwarded to a teammate (financial planner or portfolio manager) who can research the answer, or scheduled to my calendar later in the day when I can focus on a response or call the client directly. Work on outstanding compliance tasks: 1 hour.

Financial Advisor 59

Financial Advisor Financial Planner Clients Financial Planning 59

Brown Advisory

SEPTEMBER 12, 2016

When sizing up a company’s opportunities and risks, portfolio managers vary widely in how they weigh ESG factors. Some portfolio managers use ESG data to find companies that they believe are less harmful than others. This communication and any accompanying documents are confidential and privileged.

Food 52

Food Executive Compensation Portfolio Management Valuation 52

Brown Advisory

SEPTEMBER 12, 2016

When sizing up a company’s opportunities and risks, portfolio managers vary widely in how they weigh ESG factors. Some portfolio managers use ESG data to find companies that they believe are less harmful than others. This communication and any accompanying documents are confidential and privileged.

Food 52

Food Executive Compensation Portfolio Management Valuation 52

Brown Advisory

SEPTEMBER 12, 2016

Finally, we seek to ensure the highest level of service, through compliance with your investment criteria, specialized reporting and regular discussions with you to ensure that we keep pace with any changes in your views and beliefs over time. This communication and any accompanying documents are confidential and privileged.

Portfolio 52

Portfolio Clients Investing Investments 52

Brown Advisory

SEPTEMBER 12, 2016

Finally, we seek to ensure the highest level of service, through compliance with your investment criteria, specialized reporting and regular discussions with you to ensure that we keep pace with any changes in your views and beliefs over time. This communication and any accompanying documents are confidential and privileged.

Portfolio 52

Portfolio Clients Investing Investments 52

Brown Advisory

JANUARY 17, 2024

6 This is in spite of the small cap vs large cap bias documented by Fama and French.7 A firm that claims compliance with the GIPS standards must establish policies and procedures for complying with all the applicable requirements of the GIPS standards. The Verification reports are available upon request.

Investing 52

Investing Investments Portfolio Accounting 52

The Big Picture

FEBRUARY 28, 2023

RITHOLTZ: Like, wait, you want me to FedEx your documents to get a wet signature on it, and then have the other eight people sign it. And we’ve really tried to create that sense of client centricity and alignment with our clients, not just in our documentation and with our incentives, but also, culturally, within the fabric of our firm.

Clients 147

Clients Assets Investing Investments 147

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

Brown Advisory

AUGUST 14, 2023

Return is for period May 1, 2015 through December 31, 2015 Brown Advisory Institutional claims compliance with the Global Investment Performance Standards (GIPS®) and has prepared and presented this report in compliance with the GIPS standards. Calculated as the sum of each security's absolute weight difference.

Investing 52

Investing Investments Portfolio Accounting 52

Brown Advisory

SEPTEMBER 3, 2015

By Mick Dillon, CFA, Portfolio Manager, Global Leaders Strategy; Priyanka Agnihotri, Equity Research Analyst. By Stephen Shutz, CFA, Tax-Exempt Portfolio Manager. Circular 230 Compliance Statement: Regulations contained in IRS Circular 230 regulate written communications from us concerning tax matters.

Estate Planning 52

Estate Planning Assets Distribution Taxes 52

Brown Advisory

DECEMBER 2, 2015

By Mark Kodenski, Private Client Portfolio Manager. Circular 230 Compliance Statement: Regulations contained in IRS Circular 230 regulate written communications from us concerning tax matters. In compliance with those regulations, we must inform you that 1. Anchoring Expectations.

Estate Planning 52

Estate Planning Asset Allocation Assets Planning 52

Sara Grillo

SEPTEMBER 26, 2022

I do believe it should be different regulated differently from portfolio management, which is the typical definition of the registered investment advisor, but that it shouldn’t be the CFP Board that is controlling the regulatory environment for financial planners. For advise on such matters, contact a legal or compliance advisor.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

Indigo Marketing Agency

MARCH 24, 2025

AI-powered tools are transforming various facets of advisory businesses, including client engagement, portfolio management, compliance, and more. By reducing meeting preparation and documentation time from an hour to just 5-10 minutes, advisors can allocate more time to personalized client interactions and strategic planning.

Financial Advisor 52

Financial Advisor Compliance Communication Portfolio Analysis 52