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Non-Periodic Review of Client
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EFTA00284589.pdf
1 mentionEFTA00284589
nts 8 Item 13: Reviews of Accounts 8 A. Frequency and Nature of Periodic Reviews and Who Makes Those Reviews 8 B. Factors That Will Trigger a Non-Periodic Review of Client Accounts 8 C. Content and Frequency of Regular Reports Provided to Clients 8 Item 14: Client Referrals and Other Compensation 9 A. Economic B
EFTA00284812.pdf
1 mentionEFTA00284812
ent Accounts Item 13: Reviews of Accounts A. Frequency and Nature of Periodic Reviews and Who Makes Those Reviews B. Factors That Will Trigger a Non-Periodic Review of Client Accounts C. Content and Frequency of Regular Reports Provided to Clients Item 14: Client Referrals and Other Compensation 9 9 9 9 9 9 10
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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
2 docs2 co-mentions
B. Types of Advisory Services
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the Sale of Securities to Clients
OrganizationOrganization referenced in documents
2 docs2 co-mentions
Investment Supervisory
OrganizationOrganization referenced in documents
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Commodity Trading Advisor
OrganizationOrganization referenced in documents
2 docs2 co-mentions
Frequency of Regular Reports Provided to Clients
OrganizationOrganization referenced in documents
2 docs2 co-mentions
Non - Advisory Personnel
OrganizationOrganization referenced in documents
2 docs2 co-mentions
D. Selection of Other Advisors or Managers
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Personal Securities Transactions
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2 docs2 co-mentions
Prohibited Activities, Conflicts of Interest
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Gifts and Entertainment
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2 docs2 co-mentions
C. Investing Personal Money
OrganizationOrganization referenced in documents
2 docs2 co-mentions
C. Content
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Non — Advisory Personnel for Client Referrals
OrganizationOrganization referenced in documents
2 docs2 co-mentions
B. Financial Conditions
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2 docs2 co-mentions
C. Bankruptcy Petitions
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2 docs2 co-mentions
Issuers of Securities
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2 docs2 co-mentions