Add Me!Close Menu Navigation

Site is currently under mini-construction to template...please enjoy articles...

Add Me!Open Categories Menu

Currently Browsing

Posts Tagged ‘ Sec registered investment advisor ’

14 December

Hedge Fund Managers and Investment Advisor Registration Status

Many hedge fund managers who are registered as investment advisors with the SEC have experienced losses this year as well as investor redeptions.  For some managers the losses combined with investor redemptions may have the effect of decreasing an advisor’s assets below the $25million threshold for SEC investment advisor registration.  [...]

6 September
Posted in Investment Advisor

Important compliance information for registered investment advisors

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 [...]

Hedge Fund Legal Services

Cole-Frieman & Mallon LLP provides comprehensive legal services for new and existing hedge funds as well as for other investment management companies.

If you are thinking of starting a hedge fund or an incubator fund, please call Bart Mallon of Cole-Frieman & Mallon LLP today at
415-868-5345.

View Bart Mallon's profile on LinkedIn


Recommended Articles

Archives