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Form ADV

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It seems the industry’s questions about Form ADV must have been building up at the SEC for some time, as the agency has now released ...
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Greek myth meets regulatory reality in the case of an RIA that, like Icarus, aimed too high and fell back to Earth
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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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