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Gifts and Entertainment
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2
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2
Documents
21
Connected Entities
Organization referenced in documents
Document Mentions (2)
EFTA00284589.pdf
1 mentionEFTA00284589
ibited Purchases and Sales, Insider Trading, Personal Securities Transactions, Exempted Transactions, Prohibited Activities, Conflicts of Interest, Gifts and Entertainment, Confidentiality, Service on a Board of Directors, Compliance Procedures, Compliance with Laws Regulations, Procedures and Reporting, Certification
EFTA00284812.pdf
1 mentionEFTA00284812
ibited Purchases and Sales, Insider Trading, Personal Securities Transactions, Exempted Transactions, Prohibited Activities, Conflicts of Interest, Gifts and Entertainment, Confidentiality, Service on a Board of Directors, Compliance Procedures, Compliance with Laws and Regulations, Procedures and Reporting, Certifica
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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
2 docs2 co-mentions
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
OrganizationOrganization referenced in documents
2 docs2 co-mentions
the Sale of Securities to Clients
OrganizationOrganization referenced in documents
2 docs2 co-mentions
Investment Supervisory
OrganizationOrganization referenced in documents
2 docs2 co-mentions
Commodity Trading Advisor
OrganizationOrganization referenced in documents
2 docs2 co-mentions
Non-Periodic Review of Client
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
OrganizationOrganization referenced in documents
2 docs2 co-mentions
Personal Securities Transactions
OrganizationOrganization referenced in documents
2 docs2 co-mentions
Prohibited Activities, Conflicts of Interest
OrganizationOrganization referenced in documents
2 docs2 co-mentions
C. Investing Personal Money
OrganizationOrganization referenced in documents
2 docs2 co-mentions
C. Content
OrganizationOrganization referenced in documents
2 docs2 co-mentions
Non — Advisory Personnel for Client Referrals
OrganizationOrganization referenced in documents
2 docs2 co-mentions
B. Financial Conditions
OrganizationOrganization referenced in documents
2 docs2 co-mentions
C. Bankruptcy Petitions
OrganizationOrganization referenced in documents
2 docs2 co-mentions
Issuers of Securities
OrganizationOrganization referenced in documents
2 docs2 co-mentions