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22 May 2015, 7:18 pm
Available for download at SSRN: http://ssrn.com/abstract=2600524 or http://dx.doi.org/10.2139/ssrn.2600524 “We survey 79 private equity investors with combined AUM of over $750B about their practices in firm valuation, capital structure, governance, and value creation. [read post]
26 Jun 2012, 11:34 am
This Thursday is the deadline for mid-sized RIAs who no longer meet the $90 million AUM number to register with their states rather than the SEC, and it appears that many have not done so. [read post]
18 Sep 2023, 4:48 am
The IAA noted that when the current AUM-based definition was adopted by the SEC in 1982 the Small Business Administration specifically advocated for an employee-based standard. [read post]
30 Jan 2011, 2:35 pm
*note: if a fund manager also has separately managed accounts, the manager will need to be SEC registered unless the manager has less than $100 million in AUM. [read post]
4 Feb 2014, 12:36 pm
In 2013, assuming you were delivering acceptable risk/return characteristics and met AUM size and track record length requirements, did your firm find itself favored over competitors? [read post]
2 Jul 2015, 2:14 pm
On June 23, 2015 the SEC instituted cease-and-desist proceedings against Pekin Singer Strauss, a registered investment advisor firm boasting approximately $1.07 billion in AUM which primarily serves high-net-worth clients. [read post]
8 Jul 2020, 6:03 am
At just 0.3% of total global equity assets under management (AUM) in 2018, activists depend on the support of long-term investors for their influence. [read post]
6 Jun 2024, 6:30 am
From buyers looking to add AUM or talent, to sponsors looking for third-party investors to fund growth initiatives, transaction volume for asset management M&A remains strong in 2024. [read post]
8 Aug 2023, 6:31 am
According to the 2021 Investment Company Institute Fact Book, total assets under management (AUM) in ETFs increased from $992 billion in 2010 to $5.4 trillion by the end of 2020. [read post]
10 Apr 2018, 6:28 am
Shareholder activist hedge funds grew modestly in 2017, not yet restoring global activist fund assets under management (“AUM”) to 2015 highs. [read post]
6 Jun 2024, 6:30 am
From buyers looking to add AUM or talent, to sponsors looking for third-party investors to fund growth initiatives, transaction volume for asset management M&A remains strong in 2024. [read post]
8 Aug 2023, 6:31 am
According to the 2021 Investment Company Institute Fact Book, total assets under management (AUM) in ETFs increased from $992 billion in 2010 to $5.4 trillion by the end of 2020. [read post]
22 Jan 2020, 6:08 am
By one measure, assets under management (AUM) in ESG mutual funds and exchange-traded funds (ETFs) globally has grown from $453B in 2013 to $760B in 2018, with estimates of continued significant growth in the coming decade. [1] These figures do not even include the growing private funds investing directly in sustainable infrastructure and other assets. [read post]
17 Aug 2022, 5:24 pm
Blockdata Research: “Recently, we analyzed the top 100 banks investing in blockchain/crypto (by assets under management, AUM) to understand the key use cases they’re backing and what new banks have entered the space over the last 10 months. [read post]
17 Sep 2024, 5:00 am
Often AUM and RAUM will differ depending on an adviser’s business model and client base. [read post]
25 Nov 2020, 6:26 am
The private equity (PE) industry has grown enormously over the past 20 years, from roughly $650 billion in assets under management (AUM) in 2000 to almost $5 trillion in September 2019 (of which some $1.7 trillion is now “dry powder”), an increase of 16% from the prior year and a more than seven-fold increase from 2000. [read post]
3 Feb 2018, 7:00 am
T. [read post]
1 Oct 2012, 1:14 pm
Bart Mallon Speaker at Hedge Fund Compliance and Due Diligence Webinar Due diligence continues to be a hot topic for fund managers; compliance has been a central issue for managers ever since SEC registration was required for those managers with more than $150M of AUM. [read post]
29 Aug 2019, 8:54 am
The SEC has filed fraud charges against a large ($85 billion AUM) registered investment adviser for its failure to disclose material conflicts of interest in connection with a “revenue sharing” arrangement with its clearing broker. [read post]
4 May 2024, 10:44 am
Société d’investissements Rhéaume ltée decision (2023 SCC 25, October 27, 2023). [read post]
