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The adviser failed to distribute required audited financials
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The firm also did not properly describe the status of its fund’s financial statement audits when filing its Forms ADV and did not update certain ...
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The adviser failed to maintain securities of certain private equity funds that it advised with a qualified custodian
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The SEC proposes amendments to rules that exempt certain investment advisers that provide advisory services through the internet from the prohibition on Commission registration
The number of SEC-registered investment advisers climbed to an all-time record high in 2022--a 2.1% increase over the prior year
Form ADV data and industry snapshot reveal that nearly 40% of advisers include performance information in their ads
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Three in four PF advisers stated they do show performance results in their ads--compared with only 40% among all advisers
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Here are industry benchmarks by which you can compare your firm's performance
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The new data indicate advisers aren’t broadly embracing the new ad rule
Pinnacle did not conduct sufficient periodic reviews of client advisory accounts to determine whether client accounts were being managed in accordance with their investment mandates

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