Curian Capital Review

A Second Look At Third-Party Platforms - Financial Services
• Michael Bell, President & CEO, Curian Capital LLC • Moderator: Terrance (Tracy) DeWald, Senior Vice President and General Counsel, Securities America, Inc. 2. Third Party Platform Business Models Solicitation, Co – BD requests to review marketing communications. – Accepting ... View Document

Loring Ward - Cfginc.com
Loring Ward Custodians: Schwab Institutional, State Street, Pershing Programs: In 1991, Loring Ward was the first firm to partner with Dimensional Fund Advisors (DFA) to bring the ... View Full Source

HBW Advisory Services LLC Overview
HBW Advisory Services LLC overview: HBW Advisory Services LLC (HBWAS) is a Registered Investment Advisor (monitoring and review) by the firm to make sure they are performing as and Curian Capital. ... Read Document

MANAGED ACCOUT FIRMS REVIEW CLIENT SUITABILITY
Curian Capital, a Denver-based third party SMA platform launched in 2003, for one, says it has developed technology that makes minimums for SMAs possible at $25,000. In effect, says Clifford Jack, president, Curian’s ... Get Doc

NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES REPORT ON ...
The results of this review are contained in item 7 of this report. Jackson National Life Insurance Company (“JNL”). In 1997, CURIAN CAPITAL, LLCCURIAN CAPITAL, LLC CURIAN CLEARING, LLC PGDS (US ONE) ... View This Document

Advisor Newsletter - Ewrp.com
Advisor Newsletter June 2008 In this issue: Curian Capital, Dividend Capital, Franklin Templeton, Lincoln, and National Financial Services The Board will continue to review tranches of rules over the coming months as we continue to build the FINRA ... Return Document

Wrap Fee Brochure - Curian Clearing
Curian Capital, LLC (“Curian Capital”) is registered with the SEC as an investment advisor and has filed the appropriate We strongly encourage you and your Financial Professional to review this material to make ... View Document

Leumi Investment Services Inc.
Leumi Investment Services Inc. Phone: (212) 407-4353 to directly invest with one investment advisor can choose Brinker Capital Inc., Curian Capital LLC, or SEI investment selection and ongoing review and rebalancing. ... View This Document

Curian Dynamic Risk Advantage – Diversified Fund Before you invest, you may want to review the Fund’s Prospectus, which contains more information about the Fund and its risks. 3 Curian Capital has entered into a contractual agreement with the ... Read Document

CUrian Capital STRATEGY Guide - Static.contentres.com
• Performance – We review dozens of quantitative criteria to determine whether the manager’s performance is The institutional consulting firms referenced in this brochure are unaffiliated with Curian Capital, LLC and Curian Clearing LLC. 7 Risk Profile When you complete your ... Doc Retrieval

INVESTMENT PROFESSIONALS, INC. - Invpro.com
INVESTMENT PROFESSIONALS, INC. Part 2A of Form ADV The Brochure 16414 San Pedro Avenue Curian Capital Genworth Financial (no longer offered) Clients should be sure to review the Form ADV Part 2 Brochure of each separate account manager whom they choose to do business. A copy ... Fetch This Document

Form ADV Part 2A, Appendix S Fee
Form ADV Part 2A, Appendix s services for an inclusive fee. NPC’s affiliate, Curian Capital, LLC (“Curian Capital”) either more detailed review or specific action on behalf of our clients. These ongoing reviews may ... View This Document

Xamination Report Of Jackson National Life Insurance Company ...
In the course of the examination, a review was also made of the manner in which the LLC CURIAN CAPITAL, LLC CURIAN CLEARING, LLC PGDS (US ONE) JACKSON NATIONAL LIFE INSURANCE COMPANY OF NEW YORK ... View Document

Managing Volatility Through Manager Selection - KMA Wealth
Managing Volatility Through Manager Selection In a recent interview with Curian Capital, Steve Young, Chief Investment Officer of Curian, shared his thoughts we are able to review dozens of performance criteria and, at the same time, ... Fetch Content

Curian’s Manager Selection Process - GCD Advisors
Curian Capital does just that by partnering with RogersCasey.The result: You get the same institutional- This superior level of performance review includes: • Multi-period performance comparisons versus peers and benchmarks ... Read Content

Compliance Risks Lurk In LPL’s National Planning Holdings Buy
LPL Financial faces risks around recruiting and compliance in its quest to make its headcount the largest of any advisory firm in the country. The firm last week purchased National Planning ... Read News

VIA ELECTRONIC MAIL - SEC.gov
VIA ELECTRONIC MAIL May 7, 2007 Nancy M. Morris Secretary custody services to Curian Capital LLC, an affiliated SEC registered investment advisor review our comments related to the amendments identified that may result in unintended ... Read Here

NON-PRECEDENTIAL DECISION - SEE SUPERIOR COURT I.O.P. 65
NON-PRECEDENTIAL DECISION - SEE SUPERIOR COURT I.O.P. 65.37 IN THE MATTER OF THE ESTATE OF After an extensive review, we affirm in part, The court also found that the transfer of the Curian Capital LLC account was void and, ... Doc Retrieval

Curian T. Rowe Price Capital Appreciation Fund
1 Summary Prospectus – April 28, 2014 Curian/T. Rowe Price Capital Appreciation Fund Before you invest, you may want to review the Fund’s Prospectus, which contains more information about the Fund and its risks. ... Return Document