Investment Advisers - What You May Not Know Could Affect Your Registration

There are many facets surrounding the registration of investment advisory firms (“IA Firm”) and investment adviser representatives (“IAR”) and the process can be erroneous if not performed correctly. Since registration is one of our core service offerings, we get asked a lot of questions from prospects and clients on this subject. Therefore, this Risk Management Update provide answers to some frequently asked questions pertaining to both State and Securities and Exchange Commission (“SEC”) registration requirements for IA Firms and their IARs.

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