The Big Picture

DECEMBER 6, 2022

But when you factor in, you know, legal costs, compliance, portfolio management, trading, there is a lot that goes into launching an ETF. So when market participants or investors don’t know exactly how to categorize an ETF, they automatically refer to ETF as a thematic ETF. BERRUGA: Yeah.

Clients 162

Clients Investing Investments Management 162

The Big Picture

AUGUST 20, 2024

And so he was part of that early crop of venture capitalists in that late 1990s time period that I think started to think about it less on the pure technology front and more on exactly as I was referring to with Rene Gerard, the aspirational dynamics, like, what do people really want? I’m gonna hold it in my portfolio.

Assets 173

Assets Management Portfolio Marketing 173

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. One can also achieve impact through proxy voting and shareholder engagement.

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. One can also achieve impact through proxy voting and shareholder engagement.

Portfolio 52

Portfolio Clients Investing Investments 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

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. His name is Ken carbo and its Liberty Capital Management up in Birmingham. His clients’ net worth range from negative $300k to $100MM. CFA designation, correct.

Financial Advisor 52

Financial Advisor Portfolio Clients Management 52

Brown Advisory

AUGUST 14, 2023

Active Return is a reference to how much an investment gains or loses, on a percentage base, when compared to its benchmark. 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.

Investments 52

Investments Investing Portfolio Accounting 52

The Big Picture

MAY 23, 2023

RITHOLTZ: So, let’s stay with that, before we get to the tech side of it, all the entities that you referred to various uh, foundations and institutions and pensions, many of them have a future liability. So, GOG, discretionary portfolio management. Let’s round it up to 145 as much as my compliance people hate when I do that.

Clients 162

Clients Management Engineering Investing 162

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

The Big Picture

FEBRUARY 28, 2023

That’s, again, a reference to kind of Wall Street culture. One of the things we haven’t talked about, if you’re appealing more to individual investors, typically, that comes along with regulation and compliance standards and oversight from the government — LAYTON: Yup. RITHOLTZ: Right.

Clients 147

Clients Investing Investments Assets 147

Sara Grillo

FEBRUARY 13, 2023

So impact investing is, well, in some cases it refers to making private investments or investments in private companies, but it’s the idea of promoting companies that aim to do good in the world or have an impact. The success of any strategy, the Grill investment management LLC may discuss or the success of any program.

Investing 72

Investing Investments Clients Portfolio 72

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. And it’s really not a compliance reason, I hope it’s more of an intellectual honesty reason. Program didn’t feel right.

Valuation 173

Valuation Investing Investments Numbers 173

The Big Picture

JANUARY 14, 2025

Maybe we should do this out from under the compliance regulations of a broker dealer? You were a portfolio manager, researcher head of trading, and apparently tech geek putting machines together. And I’ve interviewed hundreds if not thousands of portfolio managers and worked with develop many strategies of my own.

Management 147

Management Investing Investments Assets 147

The Big Picture

JUNE 3, 2024

At TCW Barry Ritholtz : You were at the Trust company of the West, you’re a senior vice president, you’re a portfolio manager, you’re a quantitative analyst. Now I have some self-reference in there. Jeffrey Sherman : So I do too, Barry, you know, so he, he still writes my paychecks today. Signs him, right?]

Math 147

Math Marketing Marketing Engineering 147