ITEM 1- COVER PAGE Peter S. Alwardt EisnerAmper Wealth Advisors LLC 750 Third Avenue, New York, New York
|
|
- Alexia Preston
- 8 years ago
- Views:
Transcription
1 ITEM 1- COVER PAGE Peter S. Alwardt EisnerAmper Wealth Advisors LLC 750 Third Avenue, New York, New York April 2011 This Brochure Supplement provides information about Peter S. Alwardt that supplements the EisnerAmper Wealth Advisors, LLC Brochure. You should have received a copy of that Brochure. Please contact Belinda Tsui ( ) if you did not receive EisnerAmper Wealth Advisor s Brochure or if you have any questions about the contents of this supplement. Additional information about Peter S. Alwardt is available on the SEC s website at ITEM 2- EDUCATIONAL BACKGROUND AND BUSINESS EXPERIENCE Tax Partner, EisnerAmper LLP Year of Birth: 1961 Formal Education after High School: Certified Public Accountant State University of New York, BA in Economics Business Background for the Preceding Five Years: September 2002 to Present Partner, EisnerAmper LLP Peter Alwardt is a Tax Partner with more than 25 years of consulting experience, specializing in employee benefits, tax and ERISA issues for domestic and international clients. He has an extensive background in consulting on qualified and non-qualified plan design, operational compliance, equitybased plans, employee communications, and representation before the Internal Revenue Service and the U.S. Department of Labor. Previously, Peter was a Senior Manager for seven years with a Big 4 firm in New York and Vice President of a consulting firm in Albany, New York. He has spoken on topics such as 403(b) plan compliance, employee stock ownership plans, and supplemental executive retirement plans. In addition, he has written articles on employee benefit issues and been interviewed for stories in various professional publications. Peter is received his B.A. in Economics, graduating magna cum laude, from the State University of New York at Potsdam. He did his post-graduate studies in Economics, Accounting and Business Law at Tuebingen University in Germany and the State University of New York at Albany. He is a member of the American Institute of Certified Public Accountants (AICPA), New York State Society of Certified Public Accountants (NYSSCPA) where he serves on the Employee Benefits Committee, the American Council on Germany, the Association of Pension Professionals and Actuaries, and the ESOP Association P a g e 1
2 ITEM 3- DISCIPLINARY INFORMATION ITEM 4- OTHER BUSINESS ACTIVITIES In his capacity as a Tax Partner of EisnerAmper LLP Mr. Alwardt manages the firm s employee benefits practice. ITEM 5- ADDITIONAL COMPENSATION ITEM 6 SUPERVISION As President of EisnerAmper Wealth Advisors LLC. Mr. Peter Alwardt has overall supervisory responsibility of the business. In her capacity as Chief Compliance Officer, Ms. Catherine Hanks is responsible for compliance by the firm and its Supervised Persons and associated persons with the requirements of the U.S. Investment Adviser s Act of 1940 and its Policies & Procedures Manual. Mr. Alwardt can be reached at or by at Peter.Alwardt@eisneramper.com Ms. Hanks can be reached at or by at Katie.Hanks@eisneramper.com. ITEM 7- REQUIREMENTS FOR STATE-REGISTERED ADVISERS
3 ITEM 1- COVER PAGE Thomas J. Birrittella EisnerAmper Wealth Advisors LLC 750 Third Avenue, New York, New York April 2011 This Brochure Supplement provides information about Thomas J. Birrittella that supplements the EisnerAmper Wealth Advisors, LLC Brochure. You should have received a copy of that Brochure. Please contact Belinda Tsui ( ) if you did not receive EisnerAmper Wealth Advisor s Brochure or if you have any questions about the contents of this supplement. Additional information about Thomas J. Birrittella is available on the SEC s website at ITEM 2- EDUCATIONAL BACKGROUND AND BUSINESS EXPERIENCE EisnerAmper LLP Year of Birth: 1979 Formal Education after High School: Accredited Investment Fiduciary Certified Financial Planner Siena College, BS Business Background for the Preceding Five Years: April 2011 to Present EisnerAmper Wealth Advisors, LLC July 2007 to March 2011 Shepherd Kaplan, LLC June 2001 to June 2007 PricewaterhouseCoopers, LLP Thomas Birrittella is a Senior Manager and Investment Advisor in EisnerAmper Wealth Advisors LLC. Tom has more than 10 years of experience in the financial planning and investment advisory fields. Prior to joining the firm, Tom was a Relationship Management Consultant at another investment advisory firm. Previously, he was an investment advisor and financial planner in the Personal Financial Services practice of PricewaterhouseCoopers LLP. Tom has worked with a diverse range of clients, including high net worth individuals, trusts, foundations, corporate executives and business owners. Tom provides comprehensive financial and investment planning. His expertise includes designing customized portfolios, formalizing investment policy statements, plan implementation, cost control of portfolio fees, money manager due diligence, and portfolio rebalancing. Tom is a Certified Financial Planner (CFP). He has earned the Accredited Investment Fiduciary (AIF) designation, awarded by the Center for Fiduciary Studies. Tom received his BS in Finance from Siena College and completed the Certified Financial Planning (CFP) program at New York University. P a g e 3
4 ITEM 3- DISCIPLINARY INFORMATION ITEM 4- OTHER BUSINESS ACTIVITIES ITEM 5- ADDITIONAL COMPENSATION ITEM 6 SUPERVISION As President of EisnerAmper Wealth Advisors LLC. Mr. Peter Alwardt has overall supervisory responsibility of the business. In her capacity as Chief Compliance Officer, Ms. Catherine Hanks is responsible for compliance by the firm and its Supervised Persons and associated persons with the requirements of the U.S. Investment Adviser s Act of 1940 and its Policies & Procedures Manual. Mr. Alwardt can be reached at or by at Peter.Alwardt@eisneramper.com Ms. Hanks can be reached at or by at Katie.Hanks@eisneramper.com. ITEM 7- REQUIREMENTS FOR STATE-REGISTERED ADVISERS
5 ITEM 1- COVER PAGE Avani Ramnani EisnerAmper Wealth Advisors LLC 750 Third Avenue, New York, New York April 2011 This Brochure Supplement provides information about Avani Ramnani that supplements the EisnerAmper Wealth Advisors, LLC Brochure. You should have received a copy of that Brochure. Please contact Belinda Tsui ( ) if you did not receive EisnerAmper Wealth Advisor s Brochure or if you have any questions about the contents of this supplement. Additional information about Avani Ramnani is available on the SEC s website at ITEM 2- EDUCATIONAL BACKGROUND AND BUSINESS EXPERIENCE Advisor, EisnerAmper LLP Year of Birth: 1973 Formal Education after High School: Certified Financial Planner Symbiosis Center for Management, India - Post Graduate Diploma in Management Sardar Patel University, India - Bachelor of Business Administration Business Background for the Preceding Five Years: February 2009 to Present EisnerAmper Wealth Advisors, LLC May 2007 to February 2009 President, Athena Wealth Advisors, LLC July 2005 to May 2007 Lighthouse Financial Advisors ITEM 3- DISCIPLINARY INFORMATION ITEM 4- OTHER BUSINESS ACTIVITIES ITEM 5- ADDITIONAL COMPENSATION ITEM 6 SUPERVISION As President of EisnerAmper Wealth Advisors LLC. Mr. Peter Alwardt has overall supervisory responsibility of the business. In her capacity as Chief Compliance Officer, Ms. Catherine Hanks is P a g e 5
6 responsible for compliance by the firm and its Supervised Persons and associated persons with the requirements of the U.S. Investment Adviser s Act of 1940 and its Policies & Procedures Manual. Mr. Alwardt can be reached at or by at Peter.Alwardt@eisneramper.com Ms. Hanks can be reached at or by at Katie.Hanks@eisneramper.com. ITEM 7- REQUIREMENTS FOR STATE-REGISTERED ADVISERS
7 ITEM 1- COVER PAGE Timothy P. Speiss EisnerAmper Wealth Advisors LLC 750 Third Avenue, New York, New York April 2011 This Brochure Supplement provides information about Timothy P. Speiss that supplements the EisnerAmper Wealth Advisors, LLC Brochure. You should have received a copy of that Brochure. Please contact Belinda Tsui ( ) if you did not receive EisnerAmper Wealth Advisor s Brochure or if you have any questions about the contents of this supplement. Additional information about Timothy P. Speiss is available on the SEC s website at ITEM 2- EDUCATIONAL BACKGROUND AND BUSINESS EXPERIENCE Partner in Charge, EisnerAmper LLP Year of Birth: 1961 Formal Education after High School: Certified Public Accountant and Personal Financial Specialist Widener University, BS in Business Administration and M.S. in Taxation Business Background for the Preceding Five Years: September 2005 to Present Partner, EisnerAmper LLP and Investment Advisor Representative, EisnerAmper Wealth Advisors, LLC Timothy Speiss is the Partner-in-Charge of the firm s Personal Wealth Advisors Group and Vice President of EisnerAmper Wealth Planning LLC. He chairs the firm s Technology Committee and Legislation Monitoring Group, and serves on the firm s Tax Practice Policy Committee and community service group EisnerAmperCares. Tim has nearly 30 years of experience in providing comprehensive tax planning and related investment, compensation, and financial planning services to senior executives and board members of Fortune 100 publicly held companies, Forbes 400 families, and privately held businesses and owners including celebrities and owners of professional sports teams. Prior to joining EisnerAmper, he was a partner with a Big Four firm and served as Partner-in Charge of their New York Metro and Northeast Area Private Client Advisory Practice. Tim is a frequent speaker and author on topics of tax and financial planning, executive compensation, charitable giving, and related matters. He has lectured in various university graduate programs and regularly provides commentary on tax and investment and legislative matters to television, radio, and print media. Tim is also the Editor-in-Chief of the periodical EisnerAmper LLP Personal Wealth Advisors Technical Update For Financial Advisors. Tim was a staff assistant to a former U.S. Congressman and has attended U.S. Treasury hearings on various matters of federal taxation. He is a member of the United States Foreign Policy Association (U.S. FPA), has been cited as an Outstanding New York Businessperson by a U.S. Senate Subcommittee, and is the founder of the Timothy Speiss Endowed Fund For the Promotion of United Nations Responsible P a g e 7
8 Global Business Principles at Widener University. Tim serves on the boards of, and regularly advises, numerous charitable and educational organizations and capital campaign initiatives. His involvement includes the Trustee, Finance and Development Committees of the Harlem Academy; Board Chair (Manhattan) of the Abingdon Theatre Company; Corporate Development Committee of the Alliance for Lupus Research; and Chair of the Bishop McDevitt High School President s Advisory Board. Tim graduated from Widener University with a B.S. in Business and M.S. in Taxation. ITEM 3- DISCIPLINARY INFORMATION ITEM 4- OTHER BUSINESS ACTIVITIES ITEM 5- ADDITIONAL COMPENSATION ITEM 6 SUPERVISION As President of EisnerAmper Wealth Advisors LLC. Mr. Peter Alwardt has overall supervisory responsibility of the business. In her capacity as Chief Compliance Officer, Ms. Catherine Hanks is responsible for compliance by the firm and its Supervised Persons and associated persons with the requirements of the U.S. Investment Adviser s Act of 1940 and its Policies & Procedures Manual. Mr. Alwardt can be reached at or by at Peter.Alwardt@eisneramper.com Ms. Hanks can be reached at or by at Katie.Hanks@eisneramper.com. ITEM 7- REQUIREMENTS FOR STATE-REGISTERED ADVISERS
9 ITEM 1- COVER PAGE Belinda Tsui EisnerAmper Wealth Advisors LLC 750 Third Avenue, New York, New York April 2011 This Brochure Supplement provides information about Belinda Tsui that supplements the EisnerAmper Wealth Advisors, LLC Brochure. You should have received a copy of that Brochure. Please contact Belinda Tsui ( ) if you did not receive EisnerAmper Wealth Advisor s Brochure or if you have any questions about the contents of this supplement. Additional information about Belinda Tsui is available on the SEC s website at ITEM 2- EDUCATIONAL BACKGROUND AND BUSINESS EXPERIENCE Advisor, EisnerAmper LLP Year of Birth: 1977 Formal Education after High School: Certified Financial Planner Rutgers University, BS Business Background for the Preceding Five Years: September 2007 to Present EisnerAmper Wealth Advisors, LLC August 2006 to September 2007 TD Ameritrade August 2005 to August 2006 HSBC Securities Inc. (USA) ITEM 3- DISCIPLINARY INFORMATION ITEM 4- OTHER BUSINESS ACTIVITIES ITEM 5- ADDITIONAL COMPENSATION ITEM 6 SUPERVISION As President of EisnerAmper Wealth Advisors LLC. Mr. Peter Alwardt has overall supervisory responsibility of the business. In her capacity as Chief Compliance Officer, Ms. Catherine Hanks is responsible for compliance by the firm and its Supervised Persons and associated persons with the P a g e 9
10 requirements of the U.S. Investment Adviser s Act of 1940 and its Policies & Procedures Manual. Mr. Alwardt can be reached at or by at Peter.Alwardt@eisneramper.com Ms. Hanks can be reached at or by at Katie.Hanks@eisneramper.com. ITEM 7- REQUIREMENTS FOR STATE-REGISTERED ADVISERS
11 ITEM 1- COVER PAGE Dan A. Yu EisnerAmper Wealth Advisors LLC 750 Third Avenue, New York, New York April 2011 This Brochure Supplement provides information about Dan A. Yu that supplements the EisnerAmper Wealth Advisors, LLC Brochure. You should have received a copy of that Brochure. Please contact Belinda Tsui ( ) if you did not receive EisnerAmper Wealth Advisor s Brochure or if you have any questions about the contents of this supplement. Additional information about Dan A. Yu is available on the SEC s website at ITEM 2- EDUCATIONAL BACKGROUND AND BUSINESS EXPERIENCE Managing Director, EisnerAmper LLP Year of Birth: 1970 Formal Education after High School: Certified Financial Planner and Certified Investment Management Analyst Fordham University, BS Business Background for the Preceding Five Years: September 2005 to Present Investment Adviser Representative, EisnerAmper Wealth Advisors, LLC and Director, EisnerAmper LLP Dan Yu is the Managing Director of EisnerAmper Wealth Advisors LLC. He provides services to high net-worth individuals, and has served executives and employees at many Fortune 1000 companies. Dan s consulting services include investment asset allocation design and drafting tailored investment policy statements, analyzing clients overall balance sheet and cash flow position and modeling asset future accumulation, comprehensive goals-based financial plans, and formulating financial plan implementation processes. He regularly reviews employee and executive benefit plans and provides compensation planning services, and also addresses equity compensation matters. Dan also provides tax compliance and consulting services including assisting clients in managing exposure to Alternative Minimum Tax (AMT). He is a frequent speaker and has presented seminars to clients on various matters, including integrated retirement and investment planning, analysis of life insurance and long term disability income insurance, and estate and asset protection planning and education funding. Dan provides financial education and investment planning seminars to corporate employees, and works with corporate human resource professionals to design and present related communications. In addition, Dan has extensive experience in reviewing due diligence processes undertaken by open architecture investment platforms in order to determine the investment suitability for corporate employee populations, retirement plan participants, IRA investors, and high net worth individuals. He regularly P a g e 11
12 interacts with independent investment managers in reviewing and discussing manager objectives, performance and style, fees, and related matters. Prior to joining the firm, Dan was a Senior Manager at KPMG LLP and PricewaterhouseCoopers LLP in the firms New York City business units. He was formerly a financial analyst at Chase Manhattan Bank in the Global Investor Services Practice and the Latin America Private Banking Practice. Dan is a graduate of Fordham University with a B.S. in Accounting. He is a member of the Financial Planning Association (FPA) and Investment Management Consultants Association (IMCA). ITEM 3- DISCIPLINARY INFORMATION ITEM 4- OTHER BUSINESS ACTIVITIES ITEM 5- ADDITIONAL COMPENSATION ITEM 6 SUPERVISION As President of EisnerAmper Wealth Advisors LLC. Mr. Peter Alwardt has overall supervisory responsibility of the business. In her capacity as Chief Compliance Officer, Ms. Catherine Hanks is responsible for compliance by the firm and its Supervised Persons and associated persons with the requirements of the U.S. Investment Adviser s Act of 1940 and its Policies & Procedures Manual. Mr. Alwardt can be reached at or by at Peter.Alwardt@eisneramper.com Ms. Hanks can be reached at or by at Katie.Hanks@eisneramper.com. ITEM 7- REQUIREMENTS FOR STATE-REGISTERED ADVISERS
Controlled and Affiliated Service Group Rules for Retirement and Cafeteria Plans
Controlled and Affiliated Service Group Rules for Retirement and Cafeteria Plans www.eisneramper.com Controlled and Affiliated Service Group Rules for Retirement and Cafeteria Plans Overview This article
More informationFirm Brochure Supplement (Part 2B of Form ADV)
Firm Brochure Supplement (Part 2B of Form ADV) 9200 Montgomery Road Cincinnati, Ohio 45242 (513) 771-7222 (888) 234-7982 www.taaginc.com info@taaginc.com This brochure supplement provides information about
More informationFirm Brochure Supplement (Part 2B of Form ADV) March 9, 2015
NORTHEAST INVESTMENT MANAGEMENT, INC. INVESTMENT ADVISORS AND TRUSTEES 100 High Street, Suite 1000 Boston, Massachusetts 02110-2301 (617) 523-3588 Phone (617) 523-5412 Facsimile www.northeastinvest.com
More informationPART 2B OF FORM ADV: BROCHURE SUPPLEMENT. Supervised Persons James E. Kearney, Jeffrey Fisher, Brian T. Tesseyman, and Thomas K.
PART 2B OF FORM ADV: BROCHURE SUPPLEMENT Supervised Persons James E. Kearney, Jeffrey Fisher, Brian T. Tesseyman, and Thomas K. Vetter Q Quadrant CapitalManagement, LLC 100 Passaic Avenue Suite 301 Fairfield,
More informationWealth Preservation Tax Reduction Strategies. Wealth Transfer. Charitable Giving
BRIAN RAMSEY MBA, CFP, ChFC Senior Wealth Manager brian.ramsey@meritrustwm.com Direct: 502.882.4613 Brian Ramsey is a Senior Wealth Manager at Meritrust Wealth Management. Brian specializes in collaborating
More informationROWLING AND ASSOCIATES ACCOUNTANCY CORPORATION DBA ROWLING & ASSOCIATES
ROWLING AND ASSOCIATES ACCOUNTANCY CORPORATION DBA ROWLING & ASSOCIATES FIRM BROCHURE SUPPLEMENT (ADV PART 2B) APRIL 28, 2015 SUPERVISED PERSONS COVERED BY THIS SUPPLEMENT: Sheryl Lisa Rowling, CPA/PFS
More informationAugust 25, 2014 FORM ADV PART 2A BROCHURE
Sparrow Wealth Management 10080 West Alta Drive, Suite 125 Las Vegas, NV 89145 Phone: 877-330-9191 Fax: 877-330-9191 Web Site: www.sparrowwealth.com August 25, 2014 FORM ADV PART 2A BROCHURE This brochure
More informationMarch 15, 2012 FORM ADV PART 2A BROCHURE
Sparrow Wealth Management 10080 West Alta Drive, Suite 125 Las Vegas, NV 89145 Phone: 877-330-9191 Fax: 877-330-9191 Web Site: www.sparrowwealth.com March 15, 2012 FORM ADV PART 2A BROCHURE This brochure
More informationFinancial Designs Corporation
Nino Gabriel Pavan Financial Designs Corporation 540 W. Baseline Rd., #10 Claremont, CA 91711 Toll Free (800) 823-0398 Phone (909) 626-1642 Fax (909) 626-1529 fdc@fdcadvisors.com www.financialdesignscorp.com
More informationMarch 30, 2015 FORM ADV PART 2A BROCHURE
Sparrow Wealth Management 10080 West Alta Drive, Suite 125 Las Vegas, NV 89145 Phone: 877-330-9191 Fax: 877-330-9191 Web Site: www.sparrowwealth.com March 30, 2015 FORM ADV PART 2A BROCHURE This brochure
More informationSatovsky Asset Management, LLC
Satovsky Asset Management, LLC Form ADV - Part 2B Brochure Supplements Satovsky Asset Management, LLC 232 Madison Avenue, Suite 400 New York, New York 10016 212-584-1900 www.satovsky.com January 2014 Brochure
More informationGlobal Financial Planning Group, LLC
DARRYL G. DUERBUSCH DAVID B. LESZCYNSKI LYNN M. VANCE Global Financial Planning Group, LLC 1301 W. Long Lake Road, Suite 100 Troy, MI 48098 Phone: (248) 643-4820 Fax: (248) 643-4906 www.gfpgroup.com 1/31/2013
More informationFORM ADV PART 2B BROCHURE SUPPLEMENT
Todd Christopher Macke, CFP Macke Financial Advisory Group, Inc. 12699 New Brittany Blvd. Fort Myers, Florida 33907 Phone: 239-275-1122 April 2014 FORM ADV PART 2B BROCHURE SUPPLEMENT This brochure supplement
More informationADV Part 2B Brochure Supplement
Item 1: Cover Page ADV Part 2B Brochure Supplement Colman Knight Advisory Group, LLC 18 Audubon Lane Carlisle, MA 01741 978-371-2015 www.colmanknight.com March 2015 This brochure supplement provides information
More informationam a Registered Investment Advisor that is held to a Fiduciary Standard by Law. Being registered does not imply a certain level of skill or training.
Form ADV Part 2A Brochure Cover Page Resource Management LLC 41-973 Laumilo St Waimanalo, HI 96795 Phone:(808)429-8123 Email: ron@resourcem.com Web: www.resourcem.com am a Registered Investment Advisor
More informationFinancial Designs Corporation
Ronald Allan Bilecki Financial Designs Corporation 540 W. Baseline Rd., #10 Claremont, CA 91711 Toll Free (800) 823-0298 Phone (909) 626-1642 Fax (909) 626-1529 fdc@fdcadvisors.com www.financialdesignscorp.com
More informationBrochure Supplement. Steven Umstead Director. 6862 Elm Street, Suite 340 McLean, VA 22101
Item 1. Cover Page Brochure Supplement Steven Umstead Director 6862 Elm Street, Suite 340 McLean, VA 22101 Phone: 571-297-1740 email: sumstead@pactoluspwm.com website: www.pactoluspwm.com This brochure
More informationFPA Questions to ask your Financial Planner
FPA Questions to ask your Financial Planner Designations & Licenses What licenses do you hold? Jim Oliver, CPA/PFS, CFP o Certified Public Accountant (Texas# 18713) o Investment Advisor Representative
More informationCornerstone Wealth Management
Item 1- Cover Page David A. Gomersall, CPA Cornerstone Wealth Management 835 Sharon Drive, Suite 280 Westlake, OH 44145-7704 (440) 899-4000 www.cornerstonewealthmgmt.com March 19, 2014 This Brochure Supplement
More informationDallas Office 14214 Dallas Parkway Suite 1100 Dallas, TX 75254-2961 972.702.8262
October 1, 2013 Dallas Office 14214 Dallas Parkway Suite 1100 Dallas, TX 75254-2961 972.702.8262 Little Rock Office 400 W. Capitol Avenue Little Rock, AR 72203-3217 501.375.5200 www.bkdwa.com Advisors
More informationVERDE WEALTH GROUP, LLC
VERDE WEALTH GROUP, LLC 2323 S. Shepherd Dr. Suite 845 Houston, TX 77019 www.verdewealthgroup.com This brochure provides information about the qualifications and business practices of Verde Wealth Group,
More informationMackenzie H. Arsenault, CFP
Mackenzie H. Arsenault, CFP Cornerstone Financial Planning, LLC 70 Center Street, Level 2 Portland, ME 04101-3935 Telephone: 207-772-8133 Facsimile: 207-772-8139 February 2, 2015 FORM ADV PART 2B BROCHURE
More informationSheila P. Padden, CFP
Sheila P. Padden, CFP Padden Financial Planning LLC 10422 S. Longwood Chicago, Illinois 60643 (773) 718-3218 FORM ADV PART 2B BROCHURE SUPPLEMENT This brochure supplement provides information for Sheila
More informationPart 2B of Form ADV: Brochure Supplement
Part 2B of Form ADV: Brochure Supplement Item 1 Cover Page Jonathan Lachowitz 29 Battle Green Road Lexington, MA 02421 508-471-4431 White Lighthouse Investment Management, Inc. - Head Office 5 Militia
More informationAndrew C. Fisher. CIM Investment Management, Inc. Investment Building 239 Fourth Avenue, Suite 1302 Pittsburgh, PA 15222
Andrew C. Fisher CIM Investment Management, Inc. Investment Building 239 Fourth Avenue, Suite 1302 Pittsburgh, PA 15222 Telephone: 412.765.2771 Facsimile: 412.281.2159 www.ciminvests.com (Under construction)
More informationForm ADV Part 2: Brochure Supplement
Bashar M. Qasem 703.207.7005 x101 This Brochure Supplement provides information about Bashar Qasem that supplements the Azzad Asset Management s brochure. You should have received a copy of that brochure.
More informationPreston & Cleveland Wealth Management, LLC. www.preston Cleveland.com
Preston & Cleveland Wealth Management, LLC 1611 South Zack Hinton Parkway McDonough, Georgia 30253 (770) 898 4235 3740 Executive Center Drive Augusta, Georgia 30907 (706) 855 0170 www.preston Cleveland.com
More informationPeter Miller Robert Hofmann, CFP Paulette Greenwell, CFA, MBA Mark Frombach, CFA, MBA Susan Arnold Ryan Crooks, MBA Tucker Schade Lori Blum
1835 Market Street, Suite 500 Philadelphia, PA 19103 215-981-1030 The Following Investment Committee Members are presented in this Supplement. Peter Miller Robert Hofmann, CFP Paulette Greenwell, CFA,
More informationForm ADV Part 2B Individual Disclosure Brochure. Mark W. McGorry Personal CRD Number: 327815 Investment Adviser Representative
Form ADV Part 2B Individual Disclosure Brochure Mark W. McGorry Personal CRD Number: 327815 Investment Adviser Representative Wealth Partners Advisors, LLC 286 Madison Avenue, Suite 200 New York, NY 10017
More informationJeffrey Myers, CFP, Owner Personal CRD #3154149. Long Island Wealth Management, Inc.
Item 1 Cover Page for Brochure Supplement Jeffrey Myers, CFP, Owner Personal CRD #3154149 jmyers@longislandwealthmgmt.com Long Island Wealth Management, Inc. Firm CRD #173363 14 Vanderventer Avenue, Suite
More informationMorgan Stanley. R & R Partners. 522 Fifth Avenue, 15th Floor New York, NY 10036 (212)-296-1031. www.morganstanleyfa.com/rudowramos
R & R Partners 522 Fifth Avenue, 15th Floor New York, NY 10036 (212)-296-1031 www.morganstanleyfa.com/rudowramos 0 Table of Contents Our Mission Page 2 Wealth Management Page 3 Why R and R Partners? Page
More informationCornerstone Financial Planning, LLC
Jill B. Boynton, CFP Cornerstone Financial Planning, LLC 70 Old Post Road Newington, NH 03801-2711 Telephone: 603-431-1133 Facsimile: 603-431-1139 www.cornerstoneplanning.com March 15, 2016 FORM ADV PART
More informationVision Capital Management, Inc. Form ADV Part 2B Brochure Supplements on Our Advisory Employees April 29, 2016
Vision Capital Management, Inc. on Our Advisory Employees April 29, 2016 Vision Capital Management, Inc. 1 April 29, 2016 [Page intentionally left blank] Vision Capital Management, Inc. 2 April 29, 2016
More informationADV Part 2B Brochure Supplement
Item 1: Cover Page ADV Part 2B Brochure Supplement COLMAN KNIGHT ADVISORY GROUP, LLC 18 AUDUBON LANE CARLISLE, MA 01741 978-371-2015 www.colmanknight.com This brochure supplement provides information about
More informationForm ADV Part 2A Brochure January 12, 2015. Oliver Financial Planning, LLC A State of Michigan Registered Investment Advisor
Form ADV Part 2A Brochure January 12, 2015 Oliver Financial Planning, LLC A State of Michigan Registered Investment Advisor 202 E. Washington Street, Suite 303 Ann Arbor, MI 48104 Phone: 734-926-0022 www.oliverplanning.com
More informationTFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement
Form ADV Part 2B Brochure Supplement May 12, 2015 Website: www.tfcfinancial.com E-mail: info@tfcfinancial.com This Brochure Supplement provides information about Jane Taubner Barney, Kathleen A. Chianca,
More informationJAMES HERBERT FORCELLA
JAMES HERBERT FORCELLA 1600 Victor Ave. Redding, CA 96003 530-222-6301 LPL Financial LLC 75 State Street, 24th Floor Boston, MA 02109 800-558-7567 July 15, 2013 This brochure supplement provides information
More informationBrochure Supplement (Part 2B of Form ADV)
Brochure Supplement (Part 2B of Form ADV) MCNAMARA FINANCIAL SERVICES, INC. 1020 Plain Street, Suite 200 Marshfield, MA 02050 781-834-2010 Fax 781-834-2056 www.mcnamarafinancial.com This brochure supplement
More informationPart 2A of Form ADV: Firm Brochure
Part 2A of Form ADV: Firm Brochure Item 1 Cover Page A. Adviser Name: Potomac Wealth Management LLC Address: 737 Walker Rd. Suite 1B, Great Falls, Virginia 22066 Phone: (202) 236 9667 Website:www.potomacwealthmanagementllc.com
More informationD.R. Saur Financial, Inc.
Daniel Saur D.R. Saur Financial, Inc. 12900 Preston Road Suite 400 Dallas, Texas 75230 214.559.3944 www.drsaur.com Brochure Supplement 1 May 2015 This brochure supplement provides information about Daniel
More informationGregory J. Martik, CFP Jayme A. Russo Robert M. Pulit 538 Valley Brook Road, Suite 100 Venetia, PA 15367 724-941-8625 March 2012 www.bluestonewa.
Gregory J. Martik, CFP Jayme A. Russo Robert M. Pulit 538 Valley Brook Road, Suite 100 Venetia, PA 15367 724-941-8625 March 2012 www.bluestonewa.com Item 1. This brochure supplement provides information
More informationClients of Asset Planning Corporation
DATE: October 2014 TO: FROM: Clients of Asset Planning Corporation Paul K. Fain, III, CFP, President Asset Planning Corporation (APC) is registered with the Securities and Exchange Commission (SEC) as
More informationAdditional information about TPW Financial also is available on the SEC s website at www.adviserinfo.sec.gov.
The Program Works, Inc. (dba TPW Financial) 450 Lexington Street, Suite 203 Newton, MA 02466 Contact: Chitra R. Staley, CEO&CIO 617-614-9889 cstaley@tpwfinancial.com www.tpwfinancial.com Date of Brochure:
More informationPart 2B of Form ADV: Brochure Supplement
Part 2B of Form ADV: Brochure Supplement Item 1 Cover Page Item 2 Educational Background and Business Experience Item 3 Disciplinary Information Item 4 Other Business Activities Item 5 Additional Compensation
More informationPart 2B of Form ADV: Brochure Supplement. Financial Management Strategies, Inc. Carl Camillo 9050 Sweet Valley Drive Valley View, Ohio 44125
Part 2B of Form ADV: Brochure Supplement Financial Management Strategies, Inc. Carl Camillo 9050 Sweet Valley Drive Valley View, Ohio 44125 Telephone: 216-642-1099 Email: carlc@plancorp.biz Web Address:
More informationPart 2B of Form ADV Brochure Supplement
Item 1 Cover Page Part 2B of Form ADV Brochure Supplement March 16, 2016 Supervised Person: Theodore Jack Ecker Quantitative Advantage, LLC 10400 Yellow Circle Drive, Suite 303 Minnetonka, Minnesota 55343
More informationClient Brochure (ADV Part 2A) March 29, 2011
Academy Asset Management LLC 123 South Broad Street, Suite 1630 Philadelphia, PA 19109 Phone: (215) 979-3750 Fax: (215) 979-3759 management@academyasset.com www.academyasset.com/about-academy.php Client
More informationRETIREMENT PLAN SERVICES
EMPLOYEE STOCK OWNERSHIP PLANS (ESOPS) WHAT IS AN ESOP An ESOP is a form of profit-sharing plan designed to invest primarily in employer stock. ESOPs often are used as a means of transferring ownership
More informationCastle Financial Advisors, LLC Part 2A of Form ADV The Brochure
Castle Financial Advisors, LLC Part 2A of Form ADV The Brochure 145 Marcus Blvd, Suite 1, Hauppauge, NY 11788 www.castlefinancialadvisors.com Updated: March 2011 This brochure provides information about
More informationBROCHURE SUPPLEMENTS (ADV PART 2)
BROCHURE SUPPLEMENTS 2015332 1 BROCHURE SUPPLEMENT BRADFORD A. EVANS This brochure supplement provides information about Bradford A. Evans that supplements the Heartland Advisors, Inc. Brochure (ADV Part
More informationFrisch Financial Group, Inc. Brochure Supplement FORM ADV Part 2B Dated 9/20/2012
Item 1 Cover Page A. David A. Frisch Frisch Financial Group, Inc. Brochure Supplement FORM ADV Part 2B Dated 9/20/2012 B. Contact: Joyce A. Streithorst, Chief Compliance Officer 445 Broad Hollow Road,
More informationKoch Financial Partners, LLC
Koch Financial Partners, LLC A State of Oregon Registered Investment Adviser Form ADV Part 2A March 17, 2015 205 SE Spokane St, Suite 368 Portland, OR 97202 503-505- 5868 www.kochfinancialpartners.com
More informationD3 Financial Counselors LLC. 5151 Mochel Drive Suite 301, Downers Grove, IL 60515 Telephone: (630) 271-0033 Fax: (866) 385-8998
D3 Financial Counselors LLC 5151 Mochel Drive Suite 301, Downers Grove, IL 60515 Telephone: (630) 271-0033 Fax: (866) 385-8998 111 N. Wabash Ave Suite 800, Chicago, IL 60602 Telephone: (312) 526-3680 Fax:
More informationFinancial Planning Brochure
Item 1: Cover page Financial Planning Brochure This brochure provides information about the qualifications and business practices of Meritage Wealth Advisory, LLC, which also uses Meritage Wealth Advisory
More informationBrian K. Stickney, CFA, CFP
Item 1 - Cover Page Brochure Supplement for Brian K. Stickney, CFA, CFP CRD# 2217162 Ironridge Wealth Management, LLC 100 Galleria Parkway Suite 1130 Atlanta, GA 30339 (770) 635-1925 www.ironridgewealth.com
More informationALAN S. WARDYGA WEALTH MANAGEMENT RESOURCES, INC.
ALAN S. WARDYGA WEALTH MANAGEMENT RESOURCES, INC. 501 Great Road #201 North Smithfield, Rhode Island 02896 Tel. 401-356-1400 Fax 401-356-0688 February 3, 2016 FORM ADV PART 2B BROCHURE SUPPLEMENT This
More informationAequus Wealth Management Resources, LLC. 303 West Erie Street, Suite 311, Chicago, Illinois 60654. January 26, 2011 FORM ADV PART 2A.
Aequus Wealth Management Resources, LLC 303 West Erie Street, Suite 311, Chicago, Illinois 60654 Phone: 312-664-4090 Fax: 312-664-9709 January 26, 2011 FORM ADV PART 2A. BROCHURE This brochure provides
More informationThe Investment Committee of Envestnet (titled the PMC Investment Committee) consists of seven members:
Investment Committee of Envestnet Asset Management, Inc. 35 East Wacker Drive, Suite 2400 Chicago, IL 60601 312 827 2800 www.envestnet.com March 31, 2013 This Brochure Supplement provides information about
More informationFrank and his wife, Denise, enjoy travel, golf, tennis and spending time with their twin daughters, Tori and Tate.
FRANK P. HILL, CFP Senior Wealth Manager Partner frank.hill@meritrustwm.com Direct: 502.882.4603 Frank Hill is a Senior Wealth Manager and Partner at Meritrust Wealth Management. In 2007, after 15 years
More informationRETIREMENT PLAN SERVICES
OVERVIEW Helping your employees prepare for retirement is one of the most valued benefits you can offer. At The PrivateBank, we understand the important role retirement planning plays in your overall benefits
More informationMeridian Financial Advisors, LLC. Brochure Supplement Dated 3/31/2011
Item 1 Cover Page A. Kevin Collins Meridian Financial Advisors, LLC Brochure Supplement Dated 3/31/2011 B. Contact: Kevin Collins, Chief Compliance Officer 75 Essex Street, Suite 200 Hackensack, NJ 07601
More informationForm ADV Part 2A Disclosure Brochure
Form ADV Part 2A Disclosure Brochure Cover Page Name of Registered Investment Advisor Asset Planning Corporation Address 234 S. Peters Road, Suite 102 Knoxville, TN 37923 Phone Number (888) 690-1231 Website
More informationStellar Capital Management, LLC
Stellar Capital Management, LLC 2200 East Camelback Road, Suite 130 Phoenix, Arizona 85016 602.778.0307 Form ADV Part 2B The Brochure Supplement March 25, 2015 This Brochure Supplement provides information
More informationFORM ADV PART 2B* Brochure Supplement
FORM ADV PART 2B* Brochure Supplement Professional Backgrounds of Sean Stannard-Stockton Curtis Brown Arif Karim Ludovic Thomasson Matthew Pearson November 2015 1350 Bayshore Highway, Suite 460 Burlingame,
More informationForm ADV Brochure Supplement
Cover page Form ADV Brochure Supplement 500 North Franklin Turnpike, Suite 212 Ramsey, New Jersey 07446 P: 201-447-5850 F: 201-447-5808 www.regencywealth.com Revised March 17, 2015 T his Brochure Supplement
More informationETHAN L. PEPPER, CFP
ETHAN L. PEPPER, CFP This brochure provides supplemental information about Ethan L. Pepper ( Investment Advisor Representative, IAR or Employee ) that supplements the Wade Financial Advisory, Inc. brochure,
More informationTFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement
Form ADV Part 2B Brochure Supplement May 19, 2014 Website: www.tfcfinancial.com E-mail: info@tfcfinancial.com This Brochure Supplement provides information about Jane Taubner Barney, Kathleen A. Chianca,
More informationWhat is an Investment Adviser?
What is an Investment Adviser? Legal Definition. Investment adviser is a legal term that appears in the Investment Advisers Act of 1940, the federal law that governs investment advisers. Generally, this
More informationRUSSELL IMPLEMENTATION SERVICES INC.
RUSSELL IMPLEMENTATION SERVICES INC. Part of Russell Investments 1301 Second Avenue, 18 th Floor Seattle, WA 98101 206-505-7877 WWW.RUSSELL.COM March 19, 2015 The following Brochure Supplements provide
More informationDallas Office 14214 Dallas Parkway Suite 1100 Dallas, TX 75254-2961 972.702.8262
January 25, 2013 Dallas Office 14214 Dallas Parkway Suite 1100 Dallas, TX 75254-2961 972.702.8262 Little Rock Office 400 W. Capitol Avenue Little Rock, AR 72203-3217 501.375.5200 www.bkdwa.com Advisors
More informationWebster Wealth Advisors, Inc.
Webster Wealth Advisors, Inc. 195 Danbury Road, Suite 220 Davenport Building Wilton, CT 06897 (888) 862 9644 www.websterwealthadvisors.com March 30, 2015 This Brochure provides information about the qualifications
More informationTricor Advisory Services, LLC FORM ADV PART 2B BROCHURE SUPPLEMENT
Tricor Advisory Services, LLC 7201 W Lake Mead Blvd, Suite 114 Las Vegas, NV 89128 702-254-1263 3/31/2011 FORM ADV PART 2B BROCHURE SUPPLEMENT This brochure supplement provides information about Frank
More informationMBA, CFP Financial Consultant
NATHAN MCNULTY, MBA, CFP Financial Consultant nathan.mcnulty@meritrustwm.com Direct: 502.882.4608 Nathan McNulty is a Financial Consultant at Meritrust Wealth Management. He specializes in providing individuals
More informationUnison Advisors LLC. The date of this brochure is March 29, 2012.
Unison Advisors LLC 2032 Belmont Road NW, #619 Washington, DC 20009 T 646 290 7697 F 646 290 5477 www.unisonadvisors.com The date of this brochure is March 29, 2012. This brochure provides information
More informationThis brochure has not been approved by the Securities and Exchange Commission (SEC), nor any state securities authority.
The Program Works, Inc. (dba TPW Financial, Inc.) 450 Lexington Street, Suite 203 Newton, MA 02466 Contact: Chitra R. Staley, CEO&CIO 617-614-9889 cstaley@tpwfinancial.com www.tpwfinancial.com Date of
More informationCraig G. Fischer Atlantic Financial Services, Inc. 920 Providence Rd. Suite 201 Towson, MD 21286 3/30/2011
Craig G. Fischer Atlantic Financial Services, Inc. 920 Providence Rd. Suite 201 Towson, MD 21286 3/30/2011 This brochure provides information concerning the services and business practices of Atlantic
More informationWilliam K. Lang. Downriver Capital Management, LLC
Item 1- Cover Page William K. Lang Downriver Capital Management, LLC 1310 N. Maple, Spokane WA 99201 (509) 324-7869 April 1, 2011 This Brochure Supplement provides information about William K. Lang that
More informationTFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement
Form ADV Part 2B Brochure Supplement March 17, 2016 Website: www.tfcfinancial.com E-mail: info@tfcfinancial.com This Brochure Supplement provides information about Jane Taubner Barney, Kathleen A. Chianca,
More informationCapital Advisory Group 442 W. Kennedy Blvd., Suite 380 Tampa, FL 33606 813 254 1070
Capital Advisory Group 442 W. Kennedy Blvd., Suite 380 Tampa, FL 33606 813 254 1070 This brochure is required by law and provides information about the qualifications and business practices of Capital
More informationD3 Financial Counselors LLC. 5151 Mochel Drive Suite 301, Downers Grove, IL 60515 Telephone: (630) 271-0033 Fax: (866) 385-8998
D3 Financial Counselors LLC 5151 Mochel Drive Suite 301, Downers Grove, IL 60515 Telephone: (630) 271-0033 Fax: (866) 385-8998 111 N. Wabash Ave Suite 800, Chicago, IL 60602 Telephone: (312) 526-3680 Fax:
More informationSterling Investment Advisors, Ltd. ADV Part 2B, Brochure Supplement Dated: March 7, 2016
Item 1 Cover Page A. Timothy E. Flatley Sterling Investment Advisors, Ltd. ADV Part 2B, Brochure Supplement Dated: March 7, 2016 B. Contact: Michelle Smaltz, Chief Compliance Officer 1055 Westlakes Drive,
More informationMichael Sedlak, CFP, CFA, CEPA, MBA
Item 1: Cover Page Michael Sedlak, CFP, CFA, CEPA, MBA Golden Trail Advisers, LLC Managing Member of Golden Trail Advisers LLC www.golden-trail.com mikes@golden-trail.com 11S270 Jackson Street Suite 101
More informationCranbrook Wealth Management, LLC 901 Wilshire Drive, Suite 350 Troy, Michigan 48084 (248) 362 0900
Cranbrook Wealth Management, LLC 901 Wilshire Drive, Suite 350 Troy, Michigan 48084 (248) 362 0900 RICHARD E. BALAMUCKI PART 2B OF FORM ADV BROCHURE SUPPLEMENT March 26, 2012 This brochure supplement provides
More informationPart 2A of Form ADV: Firm Brochure. April 18, 2016
Part 2A of Form ADV: Firm Brochure Item 1 Cover Page April 18, 2016 This is the Firm Brochure, also known as Form ADV Part 2, for Naylor & Company Investments, LLC (Naylor & Company), which is owned and
More informationClarus Financial Planning, Inc. A State of Illinois Registered Investment Advisor
Form ADV Part 2A February 17, 2015 Clarus Financial Planning, Inc. A State of Illinois Registered Investment Advisor 312 W. State Street, Suite 106 Geneva, IL 60134 Phone: 630-492-1244 www.clarusplans.com
More informationThe Investment Committee of Envestnet (titled the PMC Investment Committee) consists of seven members:
Investment Committee of Envestnet Asset Management, Inc. 35 East Wacker Drive, Suite 2400 Chicago, IL 60601 312 827 2800 www.envestnet.com March 31, 2014 This Brochure Supplement provides information about
More informationHow To Know More About Douglas W. Jones Financial And Insurance Services
Douglas W. Jones Associates Financial & Insurance Services, Inc. 26477 Rancho Parkway South Lake Forest, California 92630 Phone: 949-699-1660 Fax: 949-699-1069 Web Site: www.jonesfinancial.com February
More informationKMH Wealth Management, LLC PO Box 2549 101 S. Main St. Suite 300 Victoria, TX 77902 FORM ADV PART 2 BROCHURE
KMH Wealth Management, LLC PO Box 2549 101 S. Main St. Suite 300 Victoria, TX 77902 361 573-4383 Fax 361 573-1168 www.kmhwealth.com mail@kmhwealth.com 3/19/2014 FORM ADV PART 2 BROCHURE This brochure provides
More informationColumbia Financial Planning LLC April 2, 2015 Item 1 Advisor Disclosure Statement (ADV) Item 2 Material Changes
Heidi Davis, CFP Columbia Financial Planning LLC http://www.columbiafp.com 425-943-0001 heidi@columbiafp.com 8 Columbia Key, Bellevue WA 98006 April 2, 2015 Item 1 Advisor Disclosure Statement (ADV) This
More informationTD Private Client Wealth LLC. 444 Madison Avenue, 11 th Floor New York, NY 10022. Main Phone Number: 1-800-800-2535. www.tdbank.com.
TD Private Client Wealth LLC 444 Madison Avenue, 11 th Floor New York, NY 10022 Main Phone Number: 1-800-800-2535 www.tdbank.com January 29, 2016 Form ADV Part 2A Financial Planning Services Brochure This
More informationPDF compression, OCR, web optimization using a watermarked evaluation copy of CVISION PDFCompressor
Item 1 Cover Page Corinthian Capital Company, LLC 1401 17 th Street, Suite 480 Denver, CO 80202 303-298-9950 February 10, 2011 Form ADV, Part 2; the Disclosure Brochure as required by the Investment Advisers
More informationNET WORTH ADVISORY GROUP. Registered Investment Advisor
NET WORTH ADVISORY GROUP Registered Investment Advisor Form ADV Part 2A Investment Advisor Brochure NET WORTH ADVISORY GROUP, LLC Form ADV Part 2A Investment Advisor Brochure Name of Registered Investment
More informationSummary of Material Changes
Sycamore Investment Consulting Services, LLC 701 Deming Way, Suite 100 Madison, WI 53717 (608) 827-6414 greg@btnwd.com Form ADV: Uniform Application for Investment Adviser Registration Brochure Date: March
More informationRetirement Funding Advisors, Inc. 8031 M-15 Clarkston, MI 48348 248-620-8035
Firm Brochure (Form ADV Part 2A) Retirement Funding Advisors, Inc. 8031 M-15 Clarkston, MI 48348 248-620-8035 May 31, 2011 This brochure provides information about the qualifications and business practices
More informationPart 2B of Form ADV: Brochure Supplement
Capital Ideas, Inc. Charles M. Best 5950 Berkshire Lane, #1060 Dallas, TX 75225 214-750-4400 Item 1 - Cover Page This brochure supplement provides information about Charles M. Best that supplements the
More information4099 William Penn Highway, Suite 303 Monroeville, PA 15146-2513 www.horizonfinancialadvisors.com
Part 2A of Form ADV: Firm Brochure Item 1 Cover Page 4099 William Penn Highway, Suite 303 Monroeville, PA 15146-2513 www.horizonfinancialadvisors.com Contact us at: (412) 856-7300 / Fax (412) 856-3677
More informationCanby Financial Advisors, LLC 161 Worcester Road, Suite 408 Framingham, MA 01701 (508)598-1082. http://www.canbyfinancial.
Item 1 Cover Page Canby Financial Advisors, LLC 161 Worcester Road, Suite 408 Framingham, MA 01701 (508)598-1082 http://www.canbyfinancial.com March 5, 2015 This Brochure provides information about the
More informationForm ADV Part 2B Individual Disclosure Brochure
Form ADV Part 2B Individual Disclosure Brochure for Kevin C. Leahy, CPA, CFP Chief Executive Officer CRD No: 4245603 Effective: June 1, 2015 This Brochure Supplement provides information about the background
More informationMulvihill Asset Management, LLC 2435 N. Central Expressway, Suite 888 Richardson, Texas 75080 972-234-2001 www.theplan.
Mulvihill Asset Management, LLC 2435 N. Central Expressway, Suite 888 Richardson, Texas 75080 972-234-2001 www.theplan.net August 8, 2015 Form ADV Part 2A including information required by Form ADV Part
More information