Colorado Registered Investment Bond

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US-01646BG
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Description

An investment bond (sometimes called a debenture) issued by a corporation is an instrument promising to repay a loan to a corporation, which is may be secured by corporate assets. The relation between a bondholder and the corporation is that of a creditor-debtor. The principal on the debt is paid on the maturity date. The obligations evidenced by the bond may be secured or unsecured.


A registered bond is one issued with the name of the owner printed on the face of the certificate. It can be transferred to another individual only with the owner's endorsement.

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FAQ

If you have custody of client funds or securities, you must maintain, at all times, a minimum net worth of $35,000. If you have discretionary authority over client funds or securities but do not have custody of client funds or securities, you must maintain, at all times, a minimum net worth of $10,000.

RIA Firms can have a valuation of 1.5 to 3.3 times their annual revenue.

If you have custody of client funds or securities, you must maintain, at all times, a minimum net worth of $35,000. If you have discretionary authority over client funds or securities but do not have custody of client funds or securities, you must maintain, at all times, a minimum net worth of $10,000.

Similar to other states, a firm seeking to register as a state registered investment advisor in Colorado is required to file the Form ADV Part 1 and Part 2 along with any applicable schedule or appendix through the Investment Adviser Registration Depository (?IARD?) system and correspondingly pay in advance the ...

Generally, clients need around $2 million to $5 million in investable assets to work with wealth management firms. For any investments lower than this, the client may be better served by availing of more affordable, individualized financial services.

The right amount of money you'll need will depend on what you're looking for a financial advisor to do as well as how much you'll have to pay in fees. Generally, having between $50,000 and $500,000 of liquid assets to invest can be a good point to start looking at hiring a financial advisor.

Investment Advisers Investment adviser representatives (IARs) are individuals who work for IAs and advise the IA's clients on the IA's behalf. IAs and IARs are not ?stockbrokers? and cannot directly buy or sell securities for their customers.

Must maintain a minimum net worth of: $10,000 if exercising discretion. $35,000 if maintaining custody.

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Colorado Registered Investment Bond