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Monthly Archives February 2008

Form ADV Part 1 Annual Amendments for Fiscal Year Ended December 2007

This is a reminder to all registered investment advisors with a fiscal year end of December 2007. Your Form ADV Part 1 Annual Amendment must be submitted through Web CRD/IARD system no later than ninety (90) days after your registered investment advisor firm’s fiscal year end. Because March 30th falls on a Sunday this year, [...]

Posted by Bryan Hill

Friday, February 29, 2008

Labels: Annual Amendment, Form ADV, IARD

SEC Bars Investment Advisor for Inflating AUM and Performance Advertising

In January of this year, the SEC entered bar and cease and desist orders against a two member registered investment advisor firm. The firm was owned by a husband and wife with the wife serving strictly in an administrative capacity. The law judge in the case found that the registered investment advisor had willfully violated [...]

Posted by Bryan Hill

Friday, February 29, 2008

Labels: Advertising, Enforcement, Form ADV, SEC

SEC Considering a New Form ADV Part 2 at Its February 13th Meeting

The U.S. Securities and Exchange Commission (“SEC”) announced today that the SEC Commissioners will consider at the SEC’s open meeting on February 13, 2008 whether to propose amendments to the Part 2 of the Form ADV under the Investment Advisers Act of 1940. According to the SEC’s announcement, “[t]he proposed amendments, if adopted, would require [...]

Posted by Bryan Hill

Thursday, February 7, 2008

Labels: Form ADV, SEC



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* RIA Compliance Consultants, Inc. ("RCC") is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.

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