Search for: "aumeli"
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3 Aug 2011, 2:00 am
AUM is now defined as securities portfolios with respect to which an adviser provides continuous and regular supervisory or management services. [read post]
22 Jan 2016, 5:00 am
NASAA found that 6.2% of state-examined investment advisers in 2015 had understated their AUM, while 2.9% had overstated their AUM. [read post]
8 Mar 2012, 1:27 pm
A bipartisan bill sponsored by Senator Steven Oroho (R-Sussex-Warren-Morris) to lengthen the permit extension period by two years was moved today by the Senate Budget and Appropriations Committee making certain New Jersey does not experience wholesale project abandonments that would stop any job recovery dead in its tracks. [read post]
9 Mar 2021, 3:00 am
This private fund adviser exemption for large advisers is the transition threshold from state to federal registration and from a federal exempt reporting adviser (“ERA”)– advisers relying upon either of the venture capital fund adviser exemption or the private fund adviser exemption — to a full-fledged RIA ($100 million AUM to $150 million AUM). [read post]
3 Feb 2011, 12:42 am
While the level of specificity changes with AUM (high AUM managers must disclose more information), Form PF requests much more information from fund managers than have previously been required to be provided to regulators. [read post]
11 Nov 2024, 6:45 am
It is an NYSE-listed company and has about $746 billion assets under management (AUM). [read post]
15 Dec 2014, 4:44 pm
What are “assets under management” or “AUM” under the Advisers Act? [read post]
19 Aug 2014, 2:05 pm
Reporting content and frequency varies based on the amount of the adviser’s AUM and the types of private funds it manages. [read post]
28 Aug 2021, 9:21 pm
The recent Order increased the amount in each clause by $100,000, creating new dollar thresholds of $1,100,000 for the AUM Test and $2,200,000 for the Net Worth Test, respectively. [read post]
17 Jul 2019, 6:00 am
As shown in Exhibit 1, the combined AUM of these three managers represents just over 10% of global equity assets. [read post]
8 Apr 2008, 3:59 am
ALABAMA:Race plays key role in death-row cases, says speakerMore often than not, race of the victim and the defendant determineswhich criminals land on death row in Alabama, death penalty opponent BryanStevenson told an audience at Auburn Montgomery on Sunday.Stevenson, who heads the Equal Justice Initiative of Alabama, was thekeynote speaker for this year's AUM Durr Lecture Series, which alwaysfocuses on hot-button civil liberties issues.Stevenson, who is also a professor at… [read post]
8 Nov 2021, 4:08 am
AUM planners want to grow your investment Many planners charge a fee based on a percentage of assets under management (AUM). [read post]
5 Nov 2009, 1:32 am
Usually premiums will stay around those levels as the AUM grows, but at around $200 million in AUM the premiums may start to increase. [read post]
5 Sep 2013, 6:48 pm
Lyon alleges that the LLC’s operating agreement violates his agreement which prohibited AUM from entering into any agreement which would impair, interfere, or conflict with the terms of his agreement. [read post]
6 Mar 2012, 5:00 am
Those with more than $150M in AUM would have to notice file in the state as well as register with the SEC. [read post]
13 Sep 2014, 7:48 pm
A fund manager therefore has an incentive to maximize his fund’s AUM. [read post]
14 Feb 2011, 11:01 am
A Large CPO is a CPO that had at least $1 billion in pool AUM as of the close of business on any day during a quarter. [read post]
23 May 2022, 7:44 am
Robo advisors also use the AUM fee structure. [read post]
3 Nov 2021, 8:31 pm
Located in Silicon Valley, Pegasus Tech Ventures has $1.5 Billion AUM and provides early stage to final round funding. [read post]
8 Jul 2016, 11:49 am
Indeed, after handling several such matters over the years, I am able to at least describe the modus operandi for these “internal raids”.First, the broker-dealer’s “business side” identifies a branch with a substantial AUM. [read post]
