Exempt Reporting Adviser | Dodd-Frank | Private Fund

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What exactly does being exempt from Investment Adviser registration under Dodd-Frank mean?

August 8, 2011

Under the Dodd-Frank Act passed last year, private fund managers with assets under management of $150 million or more will be required to register as investment advisers with the SEC.  Private fund managers with assets under $150 million or venture capital fund managers will not be required to register.  However, under SEC rules, these exempt managers must still file a truncated Form ADV.  This article explains what is required of so-called "exempt reporting advisers."

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What exactly does being exempt from Investment Adviser registration under Dodd-Frank mean?

AUTHOR

Alexander Davie

Alexander Davie