Advised Assets definition
Examples of Advised Assets in a sentence
For the purposes of this Agreement, Advised Assets will be mutually defined, and documented below, for all business, institutional and non-profit engagements.
Our firm will also continue to offer a “Legacy Base” annual retainer of three hundred dollars ($300) for clientele with less than sixty thousand dollars (<$60,000) in Advised Assets that also previously engaged with Southwestern Advisory Group, a financial advisory practice of Ameriprise Financial Services, Inc., and/or Southwestern Retirement Plan Services.
Notwithstanding the foregoing provisions of this Section 2(a), however, (i) the Sub-Adviser shall, upon and in accordance with written instructions from the Adviser, effect such portfolio transactions for the Sub-Advised Assets as the Adviser shall determine are necessary in order for the Fund to comply with the Policies, and (ii) upon notice to the Sub-Adviser, the Adviser may effect in-kind redemptions with shareholders of the Fund with securities included within the Sub- Advised Assets.
For all retail client engagements, Advised Assets will be mutually defined, and documented below, by calculating the Client(s) total net worth LESS their primary residence and any privately held business(es) in which they are directly involved in the day-to-day leadership, management or operations.
Advised Assets Group, LLC (AAG or Adviser) may offer services to Participants under the terms of this Contract.
To the extent that the Sub-Adviser is required to deliver any reports or financial information related to the Trust, the Fund, the Sub Advised Assets, and/or the services provided by the Sub-Adviser hereunder, the Adviser consents to electronic delivery of all such items.
With respect to the Sub- Advised Assets, in connection with purchases or sales of portfolio securities for the accounts of the Funds, the Sub-Adviser will arrange for the placing of all orders for the purchase and sale of portfolio securities for the account with brokers or dealers selected by the Sub-Adviser.
The Sub-Adviser shall be solely responsible to vote all proxies received with respect to the Sub- Advised Assets, and shall take all necessary and reasonable steps with respect to corporate actions related to securities held or previously held as part of the Sub-Advised Assets.
The Adviser, the Trust or the Fund, as applicable, shall not be liable for any disclosures or descriptions included in any of the foregoing materials that relate to the Sub-Adviser or the Sub Advised Assets for which it did not have an opportunity to review and correct any information contained therein, unless such disclosures or descriptions are consistent with those included in public filings or materials provided to the Sub-Adviser.
With respect to the Sub- Advised Assets, in connection with purchases or sales of portfolio securities for the accounts of the Fund, the Sub-Adviser will arrange for the placing of all orders for the purchase and sale of portfolio securities for the account with brokers or dealers selected by the Sub-Adviser.