![]() ![]() Take a close look at Form ADV Part 1, Part 2 and Part 3 The states register investment adviser firms, and many separately register individual investment adviser representatives.īoth the SEC and the states may require certain investment advisers to hedge funds, venture capital funds, and other private funds that are not required to be registered (Exempt Reporting Advisers) to instead file reports with them. The SEC registers investment adviser firms but does not separately register individual representatives of investment adviser firms. Investment advisers that do not meet this threshold generally are regulated by the states. The SEC typically regulates investment advisers (RIAs) that have assets under management in excess of USD 100,000,000. Investment advisers generally are regulated by the SEC or state securities authorities. The registration enables the Swiss SEC RIA to communicate freely with American clients, travel to the US on business without restrictions and promote their wealth management services on US soil. ![]() In order for a Swiss wealth manager or family office to do business with US clients living in the US or abroad, they are required to register with the SEC. The SEC registration - an easy-to-access vital source of information ![]()
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