Form ADV

This is known as the internet adviser exemption

A common deficiency seen in SEC exams stems from a private fund adviser not updating its Form ADV, Part 1 answer after the distribution of ...

‘Tis the season for Form ADV updates for most advisers, so it’s worth heeding a compliance lesson tied to faulty disclosures

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 ...

Greek myth meets regulatory reality in the case of an RIA that, like Icarus, aimed too high and fell back to Earth

The adviser failed to distribute required audited financials

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 ...

The adviser failed to maintain securities of certain private equity funds that it advised with a qualified custodian

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