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Advisory Fees (29)
Your search for Advisory Fees returned 29 results.
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2/09/2017 | Content area: Private Fund
The global financial crisis continues to swallow up its fair share of industry players. For private equity adviser Scott Landress, the trouble started...
10/06/2016 | Content area: Investment Adviser
Allegedly reaping over a half-million dollars in ill-gotten gains by “cherry-picking” profitable trades and “double-dipping” on fees has resulted in S...
5/12/2014 | Content area: Investment Adviser
Many firms directly debit their fees and no longer send invoices to clients. However, there can be advantages to dispatching invoices."It's a good ide...
4/21/2014 | Content area: Investment Adviser
One look at the latest Form ADV brochure from Total Wealth Management ($102M in AUM) in San Diego and you can see that the firm engages in "revenue sh...
4/04/2014 | Content area: Investment Adviser | Private Fund
This is guidance released in 2014 by the Division of Investment Management having to do with an aggregate fee rate under a multi-manager structure.
3/17/2014 | Content area: Investment Adviser
A new proposed rule released last week by the Department of Labor would require advisers and broker-dealers to create a "guide" to make it easier for ...
10/10/2013 | Content area: Investment Adviser
One particular context in which an investment adviser may be temporarily providing advisory services to a fund at cost or for no compensation involves...
9/09/2013 | Content area: Investment Adviser
Advocates of an investment adviser fiduciary duty standard launched a repeat of their "Fiduciary September" last week by raising questions about exces...
9/09/2013 | Content area: Investment Adviser
Advisory firms can basically charge what they wish as long as the fee's fairly disclosed and clients agreed. But know that the SEC's watching for miss...
4/22/2013 | Content area: Investment Adviser
If you manage 401(k) and other ERISA plans make sure your contracts nail down fees and include full disclosure. The risks of any missteps can be seen ...
4/15/2013 | Content area: Private Fund
Last month we warned private fund advisers that the SEC might question whether you should register as a broker-dealer (IA Watch, March 18, 2013). Now ...
12/05/2012 | Content area: Investment Adviser
This is a copy of an SEC document request letter following the announcement of the new “presence” exams. This letter comes out of the Atlanta Regional...
2/16/2012 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is a 2012 final rule from the SEC amending the rules for performance-based fees by advisers, another change sparked by the Dodd-Frank reform law.
11/21/2011 | Content area: Private Fund
Citing what it called "wholly inadequate" oversight of a faraway subadviser, the SEC last week fined and ordered repayment of advisory fees by Morgan ...
11/21/2011 | Content area: Investment Adviser
As with much of the investment advisory regulatory regime, disclosure satisfies if you wish to include money market fund assets in fee calculations. F...
4/19/2010 | Content area: Investment Adviser
It's doubtful the SEC will want to weigh in on the ongoing debate over how to describe your fee arrangements. The agency would become concerned, thoug...
4/19/2010 | Content area: Investment Adviser
It's a clear knockout. The victory in the recent U.S. Supreme Court case in Jones v. Harris goes to the advisory business, say K&L Gates attorneys. Bo...
4/05/2010 | Content area: Investment Adviser
At the end of the day, call it a draw. Last week the U.S. Supreme Court unanimously ruled in theJones v. Harris investment adviser fee case (IA Watch,...
11/30/2009 | Content area: Investment Adviser
The performance software system will permit the advisory firm to easily send out quarterly statements to clients. But it comes with a price tag: $150 ...
6/29/2009 | Content area: Investment Adviser
Many eyes are scanning the behavior of investment advisers as it relates to disclosures - and now actions - around mutual fund fees thanks to two rece...


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