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Will the amount of assets under management reported on my registered investment advisor firm’s Form ADV Part 1 be the same amount reported on Form 13F?


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Will the amount of assets under management reported on my registered investment advisor firm’s Form ADV Part 1 be the same amount reported on Form 13F?

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Not necessarily. Form 13F will only contain a listing of Section 13(f) securities as determined by the SEC. In fact, smaller holdings of Section 13(f) securities that meet the SEC’s de minimus reporting standards do not need to be reported.

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