Form ADV

It’s been seven years since the SEC filed an enforcement action against The Robare Group claiming a failure to disclose compensation. A rollercoaster of multiple ...

DeCaprio was responsible for reviewing drafts of the Form ADV Part 2A for accuracy and completeness and failed to disclose the sub-advisory relationship, the Mutual ...

RCW combed through new SEC data taken from thousands of advisers providing their annual updating amendments. The data come from the most recent filings by ...

While the Dow increased 5% in calendar year 2020, the AUMs of the top advisers grew an average of 19% over what they reported last ...

The new FAQ states that as “long as the employees are temporarily teleworking as part of the firm’s business continuity plan due to circumstances related ...

No need to report home offices as "long as the employees are temporarily teleworking as part of the firm’s business continuity plan due to circumstances ...

Ask your reps to attest that they provided you with accurate information

It can get confusing to assign clients to certain categories when there are so many different terms, like “high-net worth individual,” “qualified purchaser,” “accredited investor” ...

Compliance P&Ps tied to the ad rule “should include objective and testable means reasonably designed to prevent violations of the final rule in the advertisements ...

Here is a list of actions to take should your firm have growth to the threshold for SEC RIA registration