For additional information about Hunt Investment Management, LLC, please see its Form ADV
and brochure (Part 2A of Form ADV
) available at https://www.adviserinfo.sec.gov.
In September 2014, the SEC instituted administrative cease-and-desist proceedings against The Robare Group, a registered investment adviser, and its two principal-owners (collectively with the adviser, TRG) for violations of Sections 206(1) and (2)1 and 2072 of the Advisers Act in connection with their failure to disclose to clients and the SEC on Form ADV
or otherwise certain conflicts of interest created by a revenue-sharing agreement with a broker-dealer that provided execution, custody, and clearing services for TRGs advisory clients.
C2 Energy Capital, LLC's portfolio includes both securities and non-securities related investments, not all of which qualify as regulatory assets under management for purposes of Form ADV
There you will find the actual registration for filed by the IA (Form ADV
Part 1A and Part 2A).
(73) Currently, primary soft dollar disclosures are housed in Form ADV
, the main disclosure document for advisers.
* The New Form ADV
: What Advisors Need to Know and Do
It is of extreme importance that investment advisors provide accurate and complete information when responding to these new questions on Part 1 of Form ADV
The Form ADV
that Westrock filed with the Securities & Exchange Commission in late March listed eye-popping assets of almost $1.1 billion.
One such Form ADV
discloses that offering advice and selling product "involve a possible conflict of interest, as commissionable products can conflict with the fiduciary duties [of loyalty and prudence] of a registered investment advisor." Brokers should include the words "investment sales representative" in their title, rather than "registered representative," to indicate nonfiduciary status.
Advisers are also moving away from relying on industry forms-e.g., Form ADV
or a 408(b)(2) disclosure statement-as the vehicle for revealing fees.
The data was gleaned from filings by RIAs on Securities and Exchange Commission Form ADV
, which requires them to disclose their compensation, conflicts of interest information, and the registrations of their employees.
What's more, the robo-advisors face no artificial contraints of time or money, meaning they can not only fulfill the letter of the Investment Advisors Act (providing Form ADV
Parts 1 and 2, among other things), they can transcend it by providing more robust disclosures and investor-education content.