SEC Form ADV — The application for registration as an investment adviser or an amendment thereto. Part one of the SEC Form ADV provides personal information about the applicant. Part two outlines the applicant s line and scope of business, as well as the nature … Investment dictionary
SEC Form ADV-NR — A request for the appointment of agency with the SEC. This type of appointment is for a non resident general partner or managing agent of an investment adviser. The form contains appointment of agent and consent clauses for the non resident… … Investment dictionary
SEC Form ADV-W — The form used to withdraw registration as a Registered Investment Adviser with the SEC. This form has several schedules that must be completed listing the advisor s contact information, current business and status of clientele. A statement of… … Investment dictionary
SEC Form ADV-H — An application for either a temporary or continuing hardship exemption previously granted by the SEC. The form contains identifying information of the adviser, and the reason for the hardship continuance request. This infomation must be provided… … Investment dictionary
Form ADV — A required submission to the Securities and Exchange Commission (SEC) by a professional investment advisor that specifies the investment style, assets under management (AUM), and key officers of the firm. The form must be updated annually and… … Investment dictionary
ADV Form — A required submission to the Securities and Exchange Commission (SEC) by a professional investment advisor that specifies the investment style, assets under management and key officers of the firm. The form must be updated annually and be made… … Investment dictionary
Investment Adviser Association — The Investment Adviser Association [ [http://www.investmentadviser.org IAA Home ] ] (IAA) is a not for profit association that exclusively represents the interests of federally registered investment advisory firms. Founded in 1937, the… … Wikipedia
Christopher Cox — For other people named Chris Cox, see Chris Cox (disambiguation). Christopher Cox 28th Chairman of the Securities and Exchange Commission In office August 3, 2005 – January 20, 2009 Presi … Wikipedia
High net worth individual — A high net worth individual (HNWI) is a person with a high net worth. In the private banking business, these individuals typically are defined as having investable assets (financial assets not including primary residence) in excess of US$1… … Wikipedia
Stevin Hoover — Infobox Criminal subject name = Stevin Ray Hoover date of birth = birth date and age|1948|10|10 place of birth = Franklin, Pennsylvania date of death = place of death = charge = Securities violation (white collar crime) penalty = 18 month federal … Wikipedia
