SEC Issues Amendments to Form ADV

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Under the Investment Advisers Act of 1940 (the “Advisers Act”), an investment adviser that manages $25 million or more in client assets must register with the Securities and Exchange Commission (“SEC”) by filing a Form ADV with the SEC. Once registered, advisers are required under Rule 204-3 of the Advisers Act to deliver to all current advisory clients and all prospective clients thereafter a brochure in which the advisers disclose certain information required by Part 2 of Form ADV (“Part 2”).

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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