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

Brown Advisory

AUGUST 14, 2023

Download it here > The Hidden Trouble Within Dear Fellow Investors, We have fielded a number of questions over the past six months from clients and prospects about how we think about and control factor risks within the Global Leaders strategy. Numbers may not total due to rounding. Numbers may not total due to rounding.

Investing 52

Investing Investments Portfolio Accounting 52

Brown Advisory

SEPTEMBER 12, 2016

We have been working hard to fulfill this commitment over the past 15 months, enhancing our offerings in a number of areas. We are finding this framework extremely helpful as a starting point in conversations with clients who are deciding how they want to tackle sustainability in their portfolios.

Portfolio 52

Portfolio Clients Investing Investments 52

Brown Advisory

SEPTEMBER 12, 2016

We have been working hard to fulfill this commitment over the past 15 months, enhancing our offerings in a number of areas. We are finding this framework extremely helpful as a starting point in conversations with clients who are deciding how they want to tackle sustainability in their portfolios.

Portfolio 52

Portfolio Clients Investing Investments 52

Sara Grillo

APRIL 11, 2022

He also has considerably less of a compliance, operational, and administrative burden because he is not taking custody or discretion of his clients’ assets. It’s all your number… How much are you managing it? His clients’ net worth range from negative $300k to $100MM. CFA designation, correct.

Financial Advisor 52

Financial Advisor Portfolio Clients Management 52

The Big Picture

MAY 9, 2023

He is the Chief Investment Officer of Asset and Wealth Management at Goldman Sachs. He’s a member of the management committee. He co-chairs a number of the asset management investment committees. So we really had to work through that over a number of years. What can I say about Julian Salisbury? We love it.

Assets 286

Assets Clients Investing Investments 286

The Big Picture

DECEMBER 6, 2022

And I did the math, and I think at that point in time, roughly speaking, assets in ETS were roughly just 10 percent, 12 percent of assets in mutual funds and I was pretty convinced that that number was to increase significantly. I was employee number 10. RITHOLTZ: Which is really a pretty big number. billion dollars in AUM.

Clients 152

Clients Investing Investments Management 152

The Big Picture

NOVEMBER 14, 2023

She has run a number of firms and a number of divisions at large firms and traced a career arc that’s just very unusual compared to the typical person in finance. Eventually leading her to a point where she’s managing quants, running about a hundred billion dollars in assets. 00:22:23 [Speaker Changed] CCPM being?

Math 130

Math Management Insurance Assets 130

The Big Picture

MAY 23, 2023

Maybe it’s leverage, maybe it’s a tele protection, maybe it’s an overlay hedge, maybe it’s any number of these things. So, GOG, discretionary portfolio management. Let’s round it up to 145 as much as my compliance people hate when I do that. And technology on. It makes them better. Um, then you have what is FRM MSL.

Clients 152

Clients Management Engineering Investing 152

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. You have a lot — RITHOLTZ: The emerging manager category? The survival rate of an emerging manager is low. RITHOLTZ: There’s safety in numbers. The numbers are correct. MIELLE: Exactly.

Assets 274

Assets Investing Investments Management 274

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. What do they have, 90000 plus CFPs?

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

The Big Picture

MARCH 21, 2023

I was a fixed income portfolio manager and trader, which is a ton of fun. PIMCO out on the West Coast, read the first thing I wrote in the Journal of Portfolio Management. You can use this in a number of ways. And that’s a pretty good number. Program didn’t feel right. I then got just very lucky.

Valuation 161

Valuation Investing Investments Numbers 161

The Big Picture

FEBRUARY 28, 2023

You sit on the board of directors on a number of portfolio companies. You own them, but yet they manage themselves and you guys are involved in that. And we looked more like an industrial conglomerate than — RITHOLTZ: That’s where I was going to go. LAYTON: — like a private equity firm. LAYTON: Yup.

Clients 141

Clients Investing Investments Assets 141

Sara Grillo

FEBRUARY 13, 2023

Third, share prices dropping doesn’t tick off the executives who hold large amounts of company stock because often their compensation is determined by the number, not price, of shares. Because there’s a company called Engine Number One, which says, here’s how we’re going to do it.

Investing 72

Investing Investments Clients Portfolio 72