December 14, 2008
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. Generally an investment advisor is [...]
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September 6, 2008
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 ADV Part II (the investment advisor brochure)
Filing [...]
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Hedge Fund Managers and Investment Advisor Registration Status
December 14, 2008Many 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. Generally an investment advisor is [...]