Asset Management ADVocate
Asset Management ADVocate
The Asset Management ADVocate provides unique analysis and insight into legal developments affecting asset managers in the United States. Subscribe 🡢
Fund Boards and Advisers Called to Action by SEC “Distribution in Guise” Update - Part Two
Fund Boards and Advisers Called to Action by SEC “Distribution in Guise” Update - Part One
Maybe a Lender Could be a Fiduciary
Federalism, Regulatory Assets under Management (“RAUM”), and Voluntary Registration with the SEC as an Investment Adviser -- Part Three
Welcoming “Finders” in from the Cold in California
Two Regulatory Implications of the SEC’s Crowdfunding Release
Can a Family Office Client Ever Cease to be a “Client;" Can a Non-Family Third Party Ever Become a “Client” of a Family Office?
It's a Miracle: Rule 2a-7 Gets Shorter
Can a Lender Be a Fiduciary to a Borrower?
Federalism, Regulatory Assets under Management (“RAUM”), and Voluntary Registration with the SEC as an Investment Adviser -- Part Two
My initial post examined the risk of miscalculating regulatory assets under management ("RAUM") for purposes of registering with the SEC as an investment adviser.