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Are There Any Exemptions From Filing Form ADV?

Written by Radient AI | Jun 26, 2023 12:31:22 PM

Yes, there are exemptions from filing Form ADV. Certain investment advisers may qualify for exemptions based on factors such as the number of clients they have, the type of clients they serve, or the amount of assets under management. These exemptions are outlined in the Investment Advisers Act of 1940 and its rules.