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Issuers of Securities
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2
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Organization referenced in documents
Document Mentions (2)
EFTA00284589.pdf
1 mentionEFTA00284589
proceeding that is material to the client's evaluation of the firm or its management. E. Material Relationships That Management Persons Have With Issuers of Securities (If Any) Neither WAM, nor its management persons, has any relationship or arrangement with issuers of securities. Form ADV 2A. Version: 5/1012011
EFTA00284812.pdf
1 mentionEFTA00284812
proceeding that is material to the client's evaluation of the firm or its management. E. Material Relationships That Management Persons Have With Issuers of Securities (If Any) Neither WAM, nor its management persons, has any relationship or arrangement with issuers of securities. Fonn ADV 2A Version: 3/11/2013
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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
Gifts and Entertainment
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