""Investment Advisory"" — Epstein Files Search

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EFTA01126601Set 9

2012-01-1024p2,338w

Investment Advisers Act because it uses U.S. jurisdictional means in the course of its investment advisory business. • New York City office • Likely uses U.S. jurisdictional means (phone calls, mailings) with ... arrangement specifically contemplates securities advice that is not merely incidental to a broader, non-investment advisory relationship (e.g., an investment trustee vs. an investment and distribution trustee); • Whether the trust ... services to multiple parties and may be seen as holding itself out as providing investment advisory services; and • Whether compensation is tied directly to a securities portfolio for which

https://www.justice.gov/epstein/files/DataSet%209/EFTA01126601.pdf

EFTA01358582Set 10

Compensation Arrangements E. You are compensated for your investment advisory services by (check all that apply): (1) A percentage of assets under your management 11 - I - I "MI (2) Hourly ... check Item 5.G.(3) unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the Investment Company Act of 1940, including

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358582.pdf

EFTA01253198Set 9

2019-04-3010p3,470w

himiltorithem it correction with the Accart Facer's business relationship with the Bank For Investment advisory account holders: ti there have been any changes in your financial situation a Investment ... wish to impose any reasonable restrictions on the management of your investment advisory account or reasonably modily existing restrictions, please contact your Pnmary Officer. For Custody account holders: Activity

https://www.justice.gov/epstein/files/DataSet%209/EFTA01253198.pdf

EFTA01378650Set 10

2019-02-011p317w

include investment recommendations and brokerage advice. IWP does not provide investment management or investment advisory services, aid private market opportunities and other products and services available through IWP are offered

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01378650.pdf

EFTA01371854Set 10

2019-02-111p331w

include investment recommendations and brokerage advice. IWP does not provide investment management or investment advisory services. and private market opportunities and other products and services available through IWP are offered

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01371854.pdf

EFTA00385554Set 9

2013-08-145p1,760w

reference to (1) the services provided by its afffiates. including broker or dealer or investment advisory services. or (2) the assets or liabilities of its parent Morgan Stanley ... reference to (1) the services provided by its affiiates, including broker or dealer or investment advisory services, or (2) the assets or liabilities of its parent Morgan Stanley

https://www.justice.gov/epstein/files/DataSet%209/EFTA00385554.pdf

EFTA01282660Set 10

such a person of an/ bank, savings and loan Institution, Insurance company, investment company. investment advisory firm or institution that purchases securities, or other employer whose consent Is required

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01282660.pdf

EFTA01355011Set 10

RETAINING AN ENGAGEMENT FOR THAT INVESTMENT ADVISER BY THE COVERED PARTY TO PROVIDE INVESTMENT ADVISORY SERVICES TO OR ON BEHALF OF THE COVERED PARTY. CREDIT SUISSE ALSO SEEKS

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01355011.pdf

EFTA01556069Set 10

2010-12-1528p4,068w

respective fund family and receives compensation from that fund family for providing investment advisory and other services. These statements are not official documents for income tax reporting purposes. Offshore Deposits

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01556069.pdf

EFTA01421569Set 10

account type(s) EFTA01421578 indicated below C'Accountfs)"): '/I Deposit Account(s) ; and Investment Advisory Accouni(s) (please select all that apply); discretionary non-discretionary Custody Account(s) RESOLVED, that

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01421569.pdf

EFTA01556898Set 10

2013-01-0134p4,321w

www.jpmorganfunds.com. J.P. Morgan affiliates may receive compensation from the JPMorgan funds for providing investment advisory services to the funds. J.P. Morgan affiliates may also provide administrative, custodial, sales, distribution, shareholder

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01556898.pdf

EFTA01560194Set 10

2012-12-3128p4,129w

www.jpmorganfunds.com. J.P. Morgan affiliates may receive compensation from the JPMorgan funds for providing investment advisory services to the funds. J.P. Morgan affiliates may also provide administrative, custodial, sales, distribution, shareholder

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01560194.pdf

EFTA00421697Set 9

2012-01-111p75w

Darren and one of lawyers from the phone call yesterday with more of an investment advisory background? Might that be possible? Please let me know. Thanks, Lesley Assistant to Jeffrey

https://www.justice.gov/epstein/files/DataSet%209/EFTA00421697.pdf

EFTA01513434Set 10

2013-02-011p276w

wvv.jpmorganfunds.com. J.P. Morgan affiliates may receive compensation from the JPMorgan funds for providing investment advisory services to the funds. J.P. Morgan affiliates may also provide administrative, custodial, sales. distribution, shareholder

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01513434.pdf

EFTA01571133Set 10

2013-01-0167p7,680w

www.jpmorganfunds.com. J.P. Morgan affiliates may receive compensation from the JPMorgan funds for providing investment advisory services to the funds. J.P. Morgan affiliates may also provide administrative, custodial, sales, distribution, shareholder

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01571133.pdf

Corpus: 1990-03-17 – 2025-12-01

January 2012

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Results by Dataset4 total

Set 9

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Set 10

3