Form ADV

This proceeding arises out of a significant overstatement of assets under management and compliance failures by Ariston Wealth Management, an investment adviser formerly registered with ...

Ariston misstated in filings with the Commission that it had $32 million in AUM in November 2011 when it had less than $20 million in ...

By all measures the investment adviser industry shows healthy growth. That’s one of the conclusions in the recently released 15th annual Evolution Revolution study from ...

TPGS violated the Custody Rule because it failed to accurately determine the securities over which it had custody; failed to ensure the securities were maintained ...

The investment adviser’s failure to disclose to clients the terms of certain compensation arrangements whereby the adviser received payments from third parties that were calculated ...

This July 2015 correction revises the Form ADV example published in an earlier Federal Register. This version shows what the form would look like should ...

The price for hiding serious conflicts of interest from clients has proven high for PageOne Financial and its sole owner and principal Edgar Page. On ...

It was the case advisers had been closely watching for months. An SEC ALJ June 4 dismissed Advisers Act charges against The Robare Group ($160M ...

The SEC has previously stated that one of the most critical rules under the Investment Advisers Act is 206(4)-2—the custody rule. This opinion hasn’t changed ...

Five years after the latest amendments to the SEC’s custody rule, many questions about it persist. IA Watch’s May 19 custody webinar—counting more than 700 ...