Epstein Files Search

EFTA00585085Set 9

2011-08-0119p4,352w

DATED [.) 2011 OSBORNE & PARTNERS LLP and [CLIENT] ADVISORY SERVICES AGREEMENT Slaughter and May One Bunhill Row London EC1Y 8YY (CMH/AED) CD082050128 EFTA00585085 CONTENTS 1. DEFINITIONS AND INTERPRETATION 1 2. ADVISORY ... SERVICES 3 3. ADVISORY SERVICES FEES 4 4. TERM OF AGREEMENT 4 5. PAYMENT OF ADVISORY SERVICES FEES AND EXPENSES 4 6. PROFESSIONAL ADVICE 5 7. DATA PROTECTION ... PARTNERSHIP 12 EFTA00585086 2 25. COUNTERPARTS 12 26. LANGUAGE 13 SCHEDULE ONE: ADVISORY SERVICES 13 SCHEDULE TWO: ADVISORY SERVICES FEES 14 EFTA00585087 THIS AGREEMENT is made on [•] 2011 BETWEEN: OSBORNE

https://www.justice.gov/epstein/files/DataSet%209/EFTA00585085.pdf

EFTA01107221Set 9

2012-01-0119p4,369w

DATED [.) 2012 OSBORNE & PARTNERS LLP and [CLIENT] ADVISORY SERVICES AGREEMENT Slaughter and May One Bunhill Row London EC1Y 8YY (CMH/AED) CD082050128 EFTA01107221 CONTENTS 1. DEFINITIONS AND INTERPRETATION 1 2. ADVISORY ... SERVICES 3 3. ADVISORY SERVICES FEES 4 4. TERM OF AGREEMENT 4 5. PAYMENT OF ADVISORY SERVICES FEES AND EXPENSES 4 6. PROFESSIONAL ADVICE 5 7. DATA PROTECTION ... PARTNERSHIP 12 EFTA01107222 2 25. COUNTERPARTS 12 26. LANGUAGE 13 SCHEDULE ONE: ADVISORY SERVICES 13 SCHEDULE TWO: ADVISORY SERVICES FEES 14 EFTA01107223 THIS AGREEMENT is made on [•] 2012 BETWEEN: OSBORNE

https://www.justice.gov/epstein/files/DataSet%209/EFTA01107221.pdf

EFTA00585776Set 9

2012-01-0119p4,350w

DATED [.) 2012 OSBORNE & PARTNERS LLP and [CLIENT] ADVISORY SERVICES AGREEMENT Slaughter and May One Bunhill Row London EC1Y 8YY (CMH/AED) CD082050128 EFTA00585776 CONTENTS 1. DEFINITIONS AND INTERPRETATION 1 2. ADVISORY ... SERVICES 3 3. ADVISORY SERVICES FEES 4 4. TERM OF AGREEMENT 4 5. PAYMENT OF ADVISORY SERVICES FEES AND EXPENSES 4 6. PROFESSIONAL ADVICE 5 7. DATA PROTECTION ... PARTNERSHIP 12 EFTA00585777 2 25. COUNTERPARTS 12 26. LANGUAGE 13 SCHEDULE ONE: ADVISORY SERVICES 13 SCHEDULE TWO: ADVISORY SERVICES FEES 14 EFTA00585778 THIS AGREEMENT is made on [•] 2012 BETWEEN: OSBORNE

https://www.justice.gov/epstein/files/DataSet%209/EFTA00585776.pdf

EFTA01116426Set 9

20p5,753w

Investment Advisers Act to Financial Planners, Pension Consultants, and Other Persons Who Provide Investment Advisory Services as a Component of Other Financial Services. ACTION: Statement of staff interpretive position. SUMMARY ... pension consultants" who typically offer, in addition to administrative services, a variety of advisory services to employee benefit plans and their fiduciaries based upon an analysis of the needs ... plan. These advisory services may include advice as to the types of funding media available to provide plan benefits, general recommendations as to what portion of plan assets should

https://www.justice.gov/epstein/files/DataSet%209/EFTA01116426.pdf

EFTA01078403Set 9

75p21,345w

with those investors. C. (1) To approximately how many clients did you provide investment advisory services during your most recently completed fiscal year? EFTA01078411 ... pursuant to section 54 of the Investment Company Act of 1940. Unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the Investment ... Compensation Arrangements E. You are compensated for your investment advisory services by (check all that apply): Fo (1) A percentage of assets under your management ✓ (2) Hourly charges ✓ (3) Subscription

https://www.justice.gov/epstein/files/DataSet%209/EFTA01078403.pdf

EFTA00237111Set 9

2015-03-3115p5,178w

UBSTERRAMAR00001465 EFTA00237111 ITEM 2. MATERIAL CHANGES This section describes the material changes to our advisory services since the last annual amendment of our Form ADV on December ... ADVISORY BUSINESS 4 A. Our Firm and Corporate Structure.. 4 B. Our Advisory Services 4 C. How We Tailor Our Advisory Services 5 D. Partidpation in Wrap Fee Programs ... Group AG, that is now the ultimate parent of UBS Americas Inc. B. Our Advisory Services As an adviser or administrator, we provide access to various third party managers through

https://www.justice.gov/epstein/files/DataSet%209/EFTA00237111.pdf

EFTA00237720Set 9

2015-03-3115p5,178w

UBSTERFtAMAR00002089 EFTA00237720 ITEM 2. MATERIAL CHANGES This section describes the material changes to our advisory services since the last annual amendment of our Form ADV on December ... ADVISORY BUSINESS 4 A. Our Firm and Corporate Structure.. 4 B. Our Advisory Services 4 C. How We Tailor Our Advisory Services 5 D. Partidpation in Wrap Fee Programs ... Group AG, that is now the ultimate parent of UBS Americas Inc. B. Our Advisory Services As an adviser or administrator, we provide access to various third party managers through

https://www.justice.gov/epstein/files/DataSet%209/EFTA00237720.pdf

EFTA01079277Set 9

2016-03-30185p86,831w

with those investors. C. (1) To approximately how many clients did you provide investment advisory services during your most recently completed fiscal year ... pursuant to section 54 of the Investment Company Act of 1940. Unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the Investment ... Compensation Arrangements E. You are compensated for your investment advisory services by (check all that apply): (1) A percentage of assets under your management (2) Hourly charges r (3) Subscription

https://www.justice.gov/epstein/files/DataSet%209/EFTA01079277.pdf

EFTA00236130Set 9

2014-05-1616p4,961w

delivered to clients. Questions If you have questions regarding your investment advisory accounts, advisory services or financial plans, please contact your Financial Advisor, Scott Stackman, at . If you have questions ... delivered to clients. Questions If you have questions regarding your investment advisory accounts, advisory services or financial plans, please contact your Financial Advisor, Lyle Casriel, at If you have questions

https://www.justice.gov/epstein/files/DataSet%209/EFTA00236130.pdf

EFTA00286421Set 9

44p14,595w

your behalf. Clients C. To approximately how many clients did you provide investment advisory services during your most-recently completed fiscal year ... family members, but does not include businesses organized as sole proprietorships. Unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the Investment ... Item 5.D(4). Compensation Arrangements E. You are compensated for your investment advisory services by (check all that apply): 0(1) A percentage of assets under your management

https://www.justice.gov/epstein/files/DataSet%209/EFTA00286421.pdf

EFTA01393072Set 10

1p627w

both a broker-dealer and an investment adviser, and provides both brokerage and investment advisory services to clients. There are certain important differences between the brokerage services DBSI provides ... clients and the investment advisory services DBSI provides to clients. Brokerage services primarily involve assisting clients with the purchase and sale of securities, whereas investment advisory services primarily involve offering ... retain a third party adviser to provide this service. The provision of investment advisory services by DBSI will only take place pursuant to a specific written agreement between DBSI

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393072.pdf

EFTA01377836Set 10

1p627w

both a broker-dealer and an investment adviser, and provides both brokerage and investment advisory services to clients. There are certain important differences between the brokerage services DBSI provides ... clients and the investment advisory services DBSI provides to clients. Brokerage services primarily involve assisting clients with the purchase and sale of securities, whereas investment advisory services primarily involve offering ... retain a third party adviser to provide this service. The provision of investment advisory services by DBSI will only take place pursuant to a specific written agreement between DBSI

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01377836.pdf

EFTA01378945Set 10

1p627w

both a broker-dealer and an investment adviser, and provides both brokerage and investment advisory services to clients. There are certain important differences between the brokerage services DBSI provides ... clients and the investment advisory services DBSI provides to clients. Brokerage services primarily involve assisting clients with the purchase and sale of securities, whereas investment advisory services primarily involve offering ... retain a third party adviser to provide this service. The provision of investment advisory services by DBSI will only take place pursuant to a specific written agreement between DBSI

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01378945.pdf

EFTA01079462Set 9

2016-03-3043p14,322w

balanced (i.e., multi-asset class) strategies. Rockefeller & Co. offers a variety of investment advisory services, including investment management, consulting and supervisory services. Investment advisory services can either be provided ... allocation policies and procedures. EFTA01079472 Item 7: Types of Clients Rockefeller & Co. offers investment advisory services to various types of clients, including: • High-net worth individuals, their families, family offices

https://www.justice.gov/epstein/files/DataSet%209/EFTA01079462.pdf

EFTA02690000Set 11

2007-02-1310p2,625w

Applicable Law 8 Annex 1. Compartment(s) to be provided with Investment Advisory Services 11 2. Fee Schedule 12 00957390000004 LU:4300687.3 2 EFTA_R1_02029750 EFTA02690001 This investment advisory ... Company desires to retain the Investment Adviser to provide investment advisory services with regard to the compartment of the Company set out in Annex Ito this Agreement (the Compartment ... without prejudice to the generality of the foregoing, provide to the Company investment advisory services, operational services and reporting services in relation to the portfolio of the Compartment

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02690000.pdf

EFTA00803405Set 9

2017-03-3043p16,141w

addition to technology, media, telecom and consumer). All investments risk the loss of capital. Advisory Services Honeycomb provides discretionary investment advisory services to the following pooled investment vehicles (the "Funds ... charged. 9 March 2018 EFTA00803413 ITEM 7 Types of Clients Honeycomb provides discretionary investment advisory services to clients that consist of Funds and their associated co-investment vehicles offered ... potential catalysts to drive value. The descriptions set forth in this Brochure of specific advisory services that Honeycomb offers or may offer to clients, and investment strategies pursued and investments

https://www.justice.gov/epstein/files/DataSet%209/EFTA00803405.pdf

EFTA00238730Set 9

2017-11-032p667w

firm providing wealth management services to clients. UBS Financial Services Inc offers both investment advisory services and brokerage services. Investment advisory services and brokerage services are separate and distinct. differ

https://www.justice.gov/epstein/files/DataSet%209/EFTA00238730.pdf

EFTA00618147Set 9

26p6,053w

Trust, Executor/Personal Advisory, and Asset Management Representative Fiduciary Tax Preparation Family Office Services Investment Advisory Services Foundation & Charitable Trust Advisor Coordination Manager Selection Management Philanthropic Planning Non-discretionary Advisory Human

https://www.justice.gov/epstein/files/DataSet%209/EFTA00618147.pdf

EFTA00284812Set 9

2012-01-2615p3,524w

Advisory Business 1 A. Description of the Advisory Firm 1 B. Types of Advisory Services Investment Supervisory Services. 1 Services Limited to Specific Types of Investments 1 C. Client Tailored ... 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

https://www.justice.gov/epstein/files/DataSet%209/EFTA00284812.pdf

EFTA00284589Set 9

2011-05-1015p3,526w

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 ... 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

https://www.justice.gov/epstein/files/DataSet%209/EFTA00284589.pdf