Form ADV

Form ADV data and industry snapshot reveal that nearly 40% of advisers include performance information in their ads

Three in four PF advisers stated they do show performance results in their ads--compared with only 40% among all advisers

Here are industry benchmarks by which you can compare your firm's performance

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

Still no sign that a widely anticipated SEC sweep looking at compliance with the new advertising rule has commenced. Yet examiners are asking lots of ...

Form ADV responses reveal a chill in using the new ad rule’s flexibility

BAG’s compliance manual included P&Ps requiring that trade orders include instructions for how the shares in the block trade are to be allocated. However, Brander ...

Biscayne failed to timely distribute annual audited financial statements prepared in accordance with Generally Accepted Accounting Principles (“GAAP”) to investors in certain private funds that ...

Lend Academy failed to conduct and timely distribute annual audited financial statements prepared in accordance with Generally Accepted Accounting Principles (“GAAP”) to investors in certain ...