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Open Categories Menu 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. [...]
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Posts Tagged ‘ Sec registered investment advisor ’
14 December
Posted in
Laws, News and Commentary
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Hedge Fund Managers and Investment Advisor Registration Status
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 [...]
