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Threshold Requirements Registered Investment Advisors

Lowenstein Sandler LLP

SEC Raises The Dollar Threshold For Qualified Clients

Lowenstein Sandler LLP on

What You Need To Know: Effective August 16, 2021, the Assets-Under-Management Test will increase to $1.1 million, and the Net Worth Test will increase to $2.2 million. On June 17, 2021, the U.S. Securities and...more

Neal, Gerber & Eisenberg LLP

SEC Increases Performance Fee Net Worth Threshold for Qualified Clients

Effective August 15, 2016, the net worth threshold for qualified clients under Rule 205-3 is increased from $2 million to $2.1 million. If you have advisory agreements or subscription agreements that require a client or...more

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