By: Daniel A. PerryTime for yet another typical lawyer answer … it depends! As discussed in a previous article, a Mid-Sized Adviser is an adviser that manages between $25 million and $100 million in assets under management. Typically, these advisers must register with the state securities division in the state where the adviser conducts business […]
By: Daniel A. Perry Time for another typical lawyer answer … it depends! As we discussed in a previous article, a Mid-Sized Adviser is defined as an adviser that manages between $25 million and $100 million in assets under management. In addition, a Mid-Sized Adviser, just like an Investment Adviser (IA) and an Investment Adviser Representative […]
By: Daniel A. PerryGenerally, a mid-sized adviser is defined as an investment adviser that has between $25 million and $100 million in assets under management. In addition, mid-sized advisers, like investment advisers and investment adviser representatives, must register with their state securities division in which they conduct business. However, there are circumstances in which a […]