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Registered Investment Adviser
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21	Wall Street Lawyer led to some of the strongest, most productive companies in the world. I think it’s no accident that the American approach to capital markets, including SEC oversight, has been emulated by Add to Reading List Source URL: www.dgslaw.com Language: English - Date: 2015-04-01 10:48:59 Economy Finance Money Corporate crime U.S. Securities and Exchange Commission Securities regulation in the United States DoddFrank Wall Street Reform and Consumer Protection Act Public Company Accounting Oversight Board Securities Act Insider trading Registered Investment Adviser Broker-dealer
22	Position: Experience: Reports to: Sales Executive 7-10 yrs in RIA Investment Management or Add to Reading List Source URL: www.adhesionwealth.com Language: English - Date: 2013-07-19 17:18:00 Finance Money Economy Financial services Investment Financial advisors Stock market Wealth management Registered Investment Adviser Investment advisory Financial adviser
23	Businessman raising his arm while his colleague gestures towards Add to Reading List Source URL: www.investmentadviser.org Language: English - Date: 2014-07-07 13:57:37 Finance Money Economy Investment Adviser Association Investment Advisers Act Regulatory compliance Registered Investment Adviser Financial adviser Hedge fund Chief compliance officer
24	APCM_Staff Supplemental 4 panel Web_July2016.indd Add to Reading List Source URL: www.apcm.net Language: English - Date: 2016-08-08 21:03:57 Professional certification in finance Certified Financial Planner Chartered Financial Analyst Chartered Professional certification CFA Institute Alaska Finance The American College of Financial Services Registered Investment Adviser Uniform Investment Adviser Law Exam
25	Family Law Software Report Add to Reading List Source URL: www.flournoywealthmanagement.com Language: English - Date: 2016-05-20 13:47:46 Self-regulatory organizations United States securities law Financial Industry Regulatory Authority LPL Financial Securities Investor Protection Corporation Registered Investment Adviser Financial adviser
26	22nd December 2015 FAMR Secretariat Financial Conduct Authority 25 The North Colonnade Canary Wharf London Add to Reading List Source URL: uksif.org Language: English - Date: 2016-01-05 07:19:13 Financial services Citizens Advice Independent Financial Adviser Financial adviser Financial Conduct Authority Mortgage broker Financial literacy Investment fund Advice Investment Advisers Act Registered Investment Adviser
27	Microsoft Word - ERISA Client disclosure letter-website Add to Reading List Source URL: www.granitepartners-llc.com Language: English - Date: 2014-11-21 15:20:39 Common law Equity Fiduciary Registered Investment Adviser Financial adviser Investment Employee Retirement Income Security Act Investment policy statement
28	Pursuit of a Financial Advisor Field Guide THE PURSUIT BEGINS Finding qualified, independent Add to Reading List Source URL: www.feeonlynetwork.com Language: English - Date: 2016-02-11 13:39:45 Personal finance Professional certification in finance Financial advisors Financial planners Financial adviser National Association of Personal Financial Advisors Investment policy statement Registered Investment Adviser Adviser Certified Financial Planner Investment Advisor Financial Advisor
29	ITEM 1 - COVER PAGE Blue Marble Investments, LLC 1308 Monterey Street Suite 250 San Luis Obispo, CA 93401 Add to Reading List Source URL: riastatic.jemstep.com Language: English - Date: 2015-08-31 06:55:23 Financial services Investment Management fee Private equity Investment management Registered Investment Adviser Investment outsourcing
30	June 29, 2016 Via Electronic Submission (www.sec.gov) Mr. Brent J. Fields, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC Add to Reading List Source URL: www.investmentadviser.org Language: English - Date: 2016-06-30 13:00:16 Investment Financial adviser Registered Investment Adviser Investment Advisers Act Accredited investor Qualified institutional buyer Hedge fund U.S. Securities and Exchange Commission Regulation D Investor Institutional investor Private equity