SEC-registered investment advisers
GPTKB entity
Statements (51)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
gptkb:investment_adviser
|
| gptkbp:advisorTo |
mutual funds
hedge funds private equity funds |
| gptkbp:compatibleWith |
gptkb:SEC_advertising_rule
gptkb:SEC_custody_rule SEC compliance rule |
| gptkbp:employs |
investment adviser representatives
|
| gptkbp:location |
gptkb:United_States
foreign countries |
| gptkbp:maintainedBy |
privacy of client information
|
| gptkbp:mayInclude |
corporations
criminal penalties individuals partnerships civil penalties SEC enforcement actions firms |
| gptkbp:mayServeAs |
individual investors
institutional investors pension funds private funds |
| gptkbp:mustActIn |
best interest of clients
|
| gptkbp:mustAvoid |
prohibited transactions
|
| gptkbp:mustDesignate |
chief compliance officer
|
| gptkbp:mustFile |
gptkb:Form_ADV
|
| gptkbp:mustImplement |
written compliance policies and procedures
|
| gptkbp:mustRegisterUnder |
gptkb:Investment_Advisers_Act_of_1940
|
| gptkbp:mustRenewRegistration |
annually
|
| gptkbp:mustUpdate |
Form ADV promptly for material changes
|
| gptkbp:provides |
asset-based fees
performance-based fees (with restrictions) |
| gptkbp:providesService |
portfolio management
financial planning investment advice |
| gptkbp:regulates |
gptkb:U.S._Securities_and_Exchange_Commission
|
| gptkbp:reportsTo |
regulatory assets under management
|
| gptkbp:requiredToDisclose |
conflicts of interest
disciplinary history fees and compensation |
| gptkbp:requiredToMaintain |
books and records
|
| gptkbp:requires |
over $110 million in assets under management (AUM) to register with SEC
Form CRS (Client Relationship Summary) to retail investors |
| gptkbp:requiresDisclosureOf |
disciplinary events of employees
material facts to clients |
| gptkbp:subject |
gptkb:SEC_examinations
fiduciary duty anti-fraud provisions |
| gptkbp:bfsParent |
gptkb:Title_III:_Investment_Advisers_Supervision_Coordination
|
| gptkbp:bfsLayer |
6
|
| http://www.w3.org/2000/01/rdf-schema#label |
SEC-registered investment advisers
|