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Form ADV

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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'
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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
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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 ...
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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
Including performance results in advertisements is the most common marketing practice among SEC-registered investment advisers
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The Dow may have jumped more than 10% in 2023, but aggregate private equity and hedge fund AUM failed to keep pace
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Nearly 80% don’t showcase specific investment advice. Advisers have not embraced sharing testimonials (92% don’t), endorsements (85% don’t) or third-party ratings (83% don’t)
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