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Articles tagged "ADV Part 2"


Les Abromovitz suggests that advisors file their ADV forms even if they're not happy with the content: 'You are at least making a good faith effort to be compliant.'

How suitable are your investment strategies? The SEC cares, a lot.
New ADV form heightens attention to the issue

Wednesday 3.30.11
Les Abromovitz: The SEC’s observation was surprising.

So you're an RIA. Be careful about calling yourself one, says the SEC
Beware of using the term as focal point for marketing; some states may have competing regulations

Monday 10.11.10
Les Abromovitz: Your narrative should use the active voice. Words must be definitive and concrete. As always, you should be looking for language that unsophisticated investors can understand.

Now, the SEC wants you to be a writer, too?
ADV Part 2 form calls for clear language, and detailed descriptions even of the people working for you

Thursday 9.2.10
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Mark Tibergien: It's been a dream of ours.Pershing and BNY Mellon unveil a unified, 'dream' RIA and bank custody unit
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Sallie Krawcheck: I worry our industry will become the Republican party -- with middle-age white guys talking to middle-age white guys, saying that we need to change.At Envestnet event, Sallie Krawcheck alludes to Crager alliance, blasts women-as-niche marketers and edges perhaps closer to endorsing the RIA model
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Jeffrey Concepcion: I'd tell you the biggest victory was the vindication and comments from former co-workers.How Jeffrey Concepcion manned up after FINRA and Lincoln Financial troubles to become an LPL giant