Form ADV

So far so good except the firm erred in what it disclosed about the program

While the U.S. plays host to the most private funds, 11 other jurisdictions welcome them in big numbers, from the Cayman Islands to Mauritius

This guidance comes to RCW (www.regcompliancewatch.com) courtesy of Lisa Marsden of Colter Strategic Services in Coral Springs, Fla.

The growth in the numbers of SEC RIAs rose nearly 3% in the last year

'Sometimes firms rely too much on the CCO to do everything'

This Excel spreadsheet, courtesy of Lisa Marsden of Colter Strategic Services in Coral Springs, Fla., will help you with your annual Form ADV update obligations

Vista and Ruben Cedrick Williams falsely claimed in the adviser's Form ADV filing that the firm had $10B in AUM and then stating its AUM ...

A new enforcement action sends the message that any increase in fees constitutes a material change that needs to be disclosed

These are the instructions for filling out the Form ADV, Part 1a

Report shows all-time record highs in IAs registered with the SEC, assets under management, and non-clerical employees