Latest registered investment advisor Stories

HOUSTON, Sept. 6, 2012 /PRNewswire/ -- Aztec Oil & Gas, Inc. (Pink Sheets: AZGSD) ("Aztec") announced today the pending release of an independent due diligence report by Duff & Phelps. This research report is expected to be released to broker dealer due diligence analysts immediately. "This is the most comprehensive financial, operational and background review that has ever been produced on our company. It resulted from our desire to be at the forefront of...

Full service brokerage firm moves to Xtiva to help with current and future growth. New York, NY (PRWEB) May 26, 2012 Xtiva Financial Systems, the leading provider of enterprise-wide compensation solutions for the financial services industry, announced today that it has signed a multi-year agreement with International Assets Advisory LLC (IAA), a fully-disclosed brokerage and investment advisory firm based in Orlando, Florida. “We recently acquired a small institutional brokerage firm...

JERSEY CITY, N.J., May 16, 2012 /PRNewswire/ -- Pershing LLC, a BNY Mellon company, today announced the release of Building a Business with Business Owners, a new guidebook that focuses on how financial advisors can meet the increasingly specialized personal and business needs of entrepreneurs. Because business owners' personal and professional lives are so strongly intertwined, Pershing concludes, advisors have a tremendous opportunity to grow their businesses by helping...

ROSELAND, N.J., April 9, 2012 /PRNewswire/ -- DPC DATA, provider of information solutions to municipal bond traders, advisors and investors, today announced that St. Louis-based BAM Advisor Services, which provides back-office support for more than 120 independent Registered Investment Advisor firms across the country, is the first RIA-supporting firm to integrate MuniPOINTS® and MuniGUARD® News into its operations. "Both these solutions make good sense operationally...

CHICAGO, April 5, 2012 /PRNewswire/ -- This Easter, as kids are dreaming of candy eggs and chocolate rabbits, parents should remember the old adage: Don't put all your eggs in one basket. While this is good advice for eggs, it rings especially true for personal finances. "Diversifying assets plays an important role in building long-term financial security," said Dean Urbanski, Senior Vice President, National Sales Manager, M&I Financial Advisors, a part of BMO Financial Group...

JERSEY CITY, N.J., March 29, 2012 /PRNewswire/ -- Pershing LLC, a BNY Mellon company, today announced its prime brokerage business received the Best North American Prime Broker Award at the 2012 Hedgeweek Global Awards ceremony in London. The winners of this year's awards were determined by votes cast by Hedgeweek subscribers-- which includes institutional investors, wealth advisors and managers. Voters once again distinguished Pershing Prime Services' offering based on a number...

OAKLAND, Calif., March 15, 2012 /PRNewswire/ -- Bell Investment Advisors, a Bay Area registered investment advisory firm, today announced they will be hosting a free webinar, "Why Education Planning Should Be Part of Your Financial Plan" on March 21, 2012, 2-2:30 PM PDT. The event is part of the firm's ongoing educational series providing informational webinars on Investment Management, Financial Planning, and Career and Life Coaching. The discussion will include a review of...

First Affirmative One of Just 15 Companies in U.S. - And 3 in Colorado -- So Recognized Via "B Impact Assessment"; Colorado Springs Company is One of First 500 "B Corps" in U.S. COLORADO SPRINGS, Colo., March 7, 2012 /PRNewswire-USNewswire/ -- First Affirmative Financial Network (First Affirmative), the leading U.S. fee-only Registered Investment Advisor that focuses on sustainable, responsible, impact (SRI) investing, is being recognized today as one of the "Best for the...

Truly independent broker dealer officially announces quarter century anniversary. Madison, WI (PRWEB) February 10, 2012 Harbour Investments, Inc., a Madison, Wisconsin based independent broker dealer and registered investment advisor, founded in January 1987 by President and CEO, Nick W. Sondel, announces their 25th anniversary. Back in January of 1987, it was Nick W. Sondel’s goal to create a full-service broker dealer that would provide outstanding, personalized service for their...

CHICAGO, Jan. 26, 2012 /PRNewswire/ -- On January 19, 2012, the Division of Investment Management of the Securities and Exchange Commission (the "Staff" or the "SEC") reaffirmed its position in its December 8, 2005, response to the American Bar Association no-action letter (the "ABA Correspondence"), in which the SEC stated that, under certain conditions, special purpose vehicles ("SPVs") would not be required to register as an investment adviser with the SEC (the "No-Action...