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Open Categories Menu IAPD Update Provides Information on IA Reps The Investment Adviser Public Disclosure (IAPD) was updated this week so that information on investment adviser representatives will now be available online. Previously the search function allowed members of the public to access information on IA firms only. The previous information available through the [...]
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Posts Tagged ‘ investment adviser representative ’
30 June
Posted in
Investment Advisor
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Investment Adviser Representative Information Now Publicly Available on IAPD
18 October
Posted in
Business Issues, compliance, Investment Advisor, Laws, Legal Resources, Regulatory Actions
Investment Adviser Representative Registration Requirement
Employees of Registered IAs Must Generally be Registered State-registered investment advisory firms need to make sure that their employees who are deemed to be “investment advisory representatives” are appropriately registered. This means that any employee (or owner) of the IA firm who provides investment advice or who has supervisory authority [...]
9 August
Posted in
Hedge Fund Questions and Answers
Question: can my firm have a “silent owner”
Question: I am a manager registered as an investment adviser in [State]. Can I have a “silent owner” who solicits clients for the management company or the fund? Also, since the owner is only a “silent owner” who does not do any of the trading, will the “silent owner” need [...]
