The press release below from NASAA, the representative body of the state securities administrators, announces an IARD (Investment Adviser Registration Depository) fee waiver for next year.  The fee waiver will cover both the IARD fees for registering investment advisory firms as well as the fees for individuals.  Previously firms had [...]

It is that time of the year for registration renewals.  Renewal notices for investment advisor registration renewal were sent out by many states this week.  Additionally, brokers and brokerage firms will need to renew all of their registrations.  The following is the registration renewal notice I recieved today.  If your [...]

I received this notice today from the California Department of Corporations.  All California registered Investment Advisors should take note that IARD renewal fees are due by next Friday, December 12.  If you are registered and need help with the renewal process, please contact us. 

For many different reasons a hedge fund manager will decide to de-register as an investment advisor.  The manager may no longer be required to be registered or a manager may have registered simply for marketing purposes and has found that it is too much of a hassle (and cost) to [...]

Many registered investment advisors are happy once a registration has gone through. The individual, or firm, has gone through all of the following: Receiving entitlement to the IARD system Passing the Series 65 exam (tips on the series 65 exam) Completing both the investment advisory firm’s Form ADV and Form [...]