Form ADV

Vista and Ruben Cedrick Williams falsely claimed in the adviser's Form ADV filing that the firm had $10B in AUM and then stating its AUM ...

A new enforcement action sends the message that any increase in fees constitutes a material change that needs to be disclosed

Report shows all-time record highs in IAs registered with the SEC, assets under management, and non-clerical employees

Including performance results in advertisements is the most common marketing practice among SEC-registered investment advisers

The Dow may have jumped more than 10% in 2023, but aggregate private equity and hedge fund AUM failed to keep pace

Nearly 80% don’t showcase specific investment advice. Advisers have not embraced sharing testimonials (92% don’t), endorsements (85% don’t) or third-party ratings (83% don’t)

During the examination, Commission staff informed Ali about the Advisers Act custody rule’s requirements and its prohibition against commingling client money with the firm’s. However, ...

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