SEC Amendments to Form ADV

The Securities and Exchange Commission (“SEC”) is adopting amendments to Form ADV that are designed to provide additional information regarding advisers, including information about their separately managed account business, incorporate... [...]

Most individuals that have been in the financial services industry for any amount of time are aware that there is a requirement to register with a regulatory body in order... [...]

You might have noticed that political contributions and pay-to-play (PTP) has been a passionately debated topic this election cycle.  Now is a great time to review and possibly update your... [...]

About one week ago, the Board of Governors of the Federal Reserve System issued an order to cease and desist and an order of an assessment of civil money penalty... [...]

Timely and accurate disclosure of a company’s policies and procedures is essential in business especially when the company manages the assets of others.  For Registered Investment Advisory (RIA) firms, that... [...]

There seems to be quite a bit of confusion in the investment adviser community when it comes to wrap fee programs. In a nutshell, a wrap fee program is exactly... [...]