Investment Advisory Agreement With Foreign
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FAQ
While there are some exceptions, in general, investment advisors with $100 million or greater in regulatory assets under management (AUM) must register with the SEC as Registered Investment Adviser (RIA).
Form CRS must be delivered to current and prospective retail investor clients within 30 days of June 30, 2020. Going forward, Form CRS should be provided to new or prospective retail investors at or before entry into a contract.
Don't: Use abbreviations such as RIA or IAR. These terms should be spelled out in full as these initials have no meaning to the general public and these do not constitute a professional designation or degree. Use misleading terms or unofficial titles or designations.
The rules for delivering Form CRS electronically are the same as other SEC disclosure requirements under Use of Electronic Media by Broker-Dealers, Transfer Agents, and Investment Advisers for Delivery of Information. They can be found here.
The SEC requires an investment adviser to register with the SEC if it has assets under management of at least $100 million or the investment adviser provides investment advice to an investment company registered under the Investment Company Act of 1940 (SEC Rule 203A-1).