This is a copy of an SEC document request letter that went to a hedge fund adviser. This originated in the SEC's Chicago Regional Office.
This is a copy of a so-called “presence exam” letter that went to a private equity fund adviser in 2013.
This is an SEC document request letter that went to a hedge fund adviser. This came out of the Chicago Regional Office.
This is a 2013 SEC document request letter that went to a private equity fund adviser within the Denver Regional Office of the SEC.
This is likely an SEC document request letter sent as part of OCIE's “presence exam” initiative in 2012. This went to a private equity fund ...
This is a questionnaire, shared with permission of Furnari Scher in New York, to help business partners develop their relationship prior to entering into a ...
This is an example of how to calculate the level of risk for a given item. This comes courtesy of Joan Berger, GC/CCO with Pzena ...
This is an example of an investment advisory agreement between a firm and a client. This stems from a 2013 lawsuit against the RIA Comprehensive ...
This is the 2012 Form ADV, Part 2b brochure supplement featuring 16 firm employees.
A peer shares the authorization form the firm uses to get permission from a client to publish her name.