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B. Types of Advisory Services
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Organization referenced in documents
Document Mentions (2)
EFTA00284589.pdf
1 mentionEFTA00284589
ontents Table of Contents Item 2 Material Changes Item 3: Table of Contents Item 4: Advisory Business 1 A. Description of the Advisory Firm 1 B. Types of Advisory Services... 1 Investment Supervisory Services 1 Services li mited to Specific Types of Investments 1 C. Client Tailored Services and Client Imposed Rest
EFTA00284812.pdf
1 mentionEFTA00284812
ax Asset Management LLC is a Limited Liability Company organized in the state of Connecticut in April 2011, and the principal owner is Evan H. Wax. B. Types of Advisory Services Wax Asset Management LLC (hereinafter "WAM") offers the following services to advisory clients: Investment Supervisory Services WAM offers ongoin
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Connected Entities(20 of 21)
Greenwich
LocationTown in Fairfield County, Connecticut, United States, suburb of NYC
2 docs2 co-mentions
Investment Strategies
OrganizationOrganization referenced in documents
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Limited Liability Company
OrganizationOrganization referenced in documents
2 docs2 co-mentions
Wax Asset Management LLC's
OrganizationOrganization referenced in documents
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the Sale of Securities to Clients
OrganizationOrganization referenced in documents
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Investment Supervisory
OrganizationOrganization referenced in documents
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Commodity Trading Advisor
OrganizationOrganization referenced in documents
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Non-Periodic Review of Client
OrganizationOrganization referenced in documents
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Frequency of Regular Reports Provided to Clients
OrganizationOrganization referenced in documents
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Non - Advisory Personnel
OrganizationOrganization referenced in documents
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D. Selection of Other Advisors or Managers
OrganizationOrganization referenced in documents
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Personal Securities Transactions
OrganizationOrganization referenced in documents
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Prohibited Activities, Conflicts of Interest
OrganizationOrganization referenced in documents
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Gifts and Entertainment
OrganizationOrganization referenced in documents
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C. Investing Personal Money
OrganizationOrganization referenced in documents
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C. Content
OrganizationOrganization referenced in documents
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Non — Advisory Personnel for Client Referrals
OrganizationOrganization referenced in documents
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B. Financial Conditions
OrganizationOrganization referenced in documents
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C. Bankruptcy Petitions
OrganizationOrganization referenced in documents
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Issuers of Securities
OrganizationOrganization referenced in documents
2 docs2 co-mentions