2004 Compliance Investments 
Nerd's Eye View
OCTOBER 11, 2023
However, this "Compliance Rule" did not technically require that the annual compliance review of policies and procedures be conducted in writing, even though advisers were required to maintain records if they did document such reviews in writing! the SEC's new marketing rule). the SEC's new marketing rule).
Nerd's Eye View
JUNE 21, 2023
All investment advisers are fiduciaries that owe a duty of care and loyalty to their clients, and, in an ideal world, advisory firms and their staff would abide by these requirements without the need for a prescriptive code of ethics.
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Carson Wealth
NOVEMBER 13, 2023
And even more encouragingly, when stocks are positive heading into November, markets tend to chase year-to-date strength as investment managers add equities before the year’s close. annual pace between 1996 and 2004. That can lead to greater investment and a tighter labor market with low unemployment and faster wage growth.
Carson Wealth
JANUARY 8, 2024
2023 Stock Gains Suggest a Solid (But Not Spectacular) 2024 The S&P 500 finally fell last week after nine consecutive weeks of gains, the longest weekly winning streak since 2004. All indices are unmanaged and may not be invested into directly. All performance referenced is historical and is no guarantee of future results.
Steve Sanduski
JULY 16, 2024
In a Nutshell: Amy Koenig was the first coach I hired back in 2004 when I was running Peak Advisor Alliance-now Carson Coaching. Certainly investment management, financial planning, some of those things definitely need to fall in the advisor’s lap, at least as you’re building your firm. I’m the best at that.
Random Roger's Retirement Planning
APRIL 8, 2023
One of the partners of the firm where I have been since 2004 was found to have done illegal trading and he was immediately terminated. Capital efficiency and return stacking have been additive to my investing process but the influence has been incremental not transformative. Thankfully a few weeks later they did.
Brown Advisory
DECEMBER 5, 2023
It also compels a good deal of humility, an acknowledgement of luck, and a desire to always learn more and to turn over more rocks, and to look at more information in order to arrive at investment insights. Here is an attempt to invoke fundamental investing basics to clarify exactly what we aspire to deliver for our clients.
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