Wrap fee program means an advisory program under which a specified fee or fees, not based directly upon transactions in a client's account, is charged for investment advisory services (which may include portfolio management or advice concerning the selection of other investment advisers) and the execution of client transactions.
Wrap fee program means a program under which any client is charged a specified fee or fees not based directly upon transactions in a client's account for investment advisory services performed by an investment adviser that is licensed or required to be licensed under Chapter 1707. of the Revised Code, which may include portfolio management or advice concerning the selection of other investment advisers, and execution of client transactions.
Wrap fee program means a program under which a specified fee or fees, not based directly upon transactions in a cli- ent’s account, are charged for investment advisory and brokerage services, which may include portfolio management or advice con- cerning the selection of other investment advisers and the execu- tion of client transactions.
Examples of Wrap fee program in a sentence
Elk Creek Partners does not sponsor or manage a Wrap fee program.
Wrap fee program clients are typically high- net-worth individuals or small institutions.
Wrap fee program management fees are established by Rock Point Advisors and the sponsoring broker.
Wrap fee program clients typically select Diamond Hill from a list of investment advisers presented to clients by representatives of the sponsor.
Wrap fee program clients are treated the same as institutional clients with respect to investment management and trading opportunities.
More Definitions of Wrap fee program
Wrap fee program means an advisory program under which one (1) or more specified fees, not based directly upon transactions in a client’s account, are charged for investment advisory services and the execution of client transactions. The investment advisory services may include portfolio management or advice concerning the selection of other investment advisers.
Wrap fee program means an advi- sory program under which a specified fee or fees not based directly upon transactions in a client’s account is charged for investment advisory serv- ices (which may include portfolio man- agement or advice concerning the se- lection of other investment advisers) and the execution of client trans- actions.[75 FR 49268, Aug. 12, 2010] § 275.204–4 Reporting by exempt re- porting advisers.
Wrap fee program means a program under which any client is charged a specified fee or fees not based directly upon transactions in a client’s account for investment advisory services (which may include portfolio manage- ment or advice concerning the selec- tion of other investment advisers) and execution of client transactions.(Secs. 204, 206(4) and 211(a) (15 U.S.C. 80b–4and 80b–11(a)))[44 FR 7877, Feb. 7, 1979, as amended at 47 FR22507, May 25, 1982; 59 FR 21661, Apr. 26, 1994] § 275.204A–1 Investment adviser codes of ethics.
Wrap fee program means a program under which any client is charged a specified fee or fees not based directly upon transactions in a client's account for investment advisory services performed by an investment adviser that is licensed or required to be licensed under Chapter 1707.
Wrap fee program means an advi- sory program under which a specified fee or fees not based directly upon transactions in a client’s account is charged for investment advisory serv- ices (which may include portfolio man- agement or advice concerning the se- lection of other investment advisers) and the execution of client trans- actions.[75 FR 49268, Aug. 12, 2010, as amended at 81FR 60458, Oct. 31, 2016; 84 FR 33630, July 12,2019] § 275.204–4 Reporting by exempt re- porting advisers.
Wrap fee program means a program that charges a client a fee which is not directly based upon transactions in the client’s account for:
Wrap fee program means an advi- sory program under which a specified fee or fees not based directly upon transactions in a client’s account is charged for investment advisory serv- ices (which may include portfolio man- agement or advice concerning the se- lection of other investment advisers) and the execution of client trans- actions.[75 FR 49268, Aug. 12, 2010] § 275.204A–1 Investment adviser codes of ethics.