G gnome Jan 18, 2007 #21 Quote from Dominic: If a current hedge fund manager obtains his Registered Investment Advisor license, would that open him up to more or potentail future liability? Any comments or suggestions appreciated Thanks More... Hedge fund manager would be making a BIG mistake to needlessly acquire RIA... brings him under NASD regulation, supervision, audits... etc.
Quote from Dominic: If a current hedge fund manager obtains his Registered Investment Advisor license, would that open him up to more or potentail future liability? Any comments or suggestions appreciated Thanks More... Hedge fund manager would be making a BIG mistake to needlessly acquire RIA... brings him under NASD regulation, supervision, audits... etc.
D Dominic Jan 19, 2007 #22 Quote from Cache Landing: Agreed. I don't use signals myself but I don't want to see this guy get into trouble. He seems like a good enough person. More... Thanks for the insightful info; its much appreciated. Do you know off hand if there is a limit to the number of privately managed accounts that a hedge fund can manage? Does it vary state to state or not limit? Thanks Dominic
Quote from Cache Landing: Agreed. I don't use signals myself but I don't want to see this guy get into trouble. He seems like a good enough person. More... Thanks for the insightful info; its much appreciated. Do you know off hand if there is a limit to the number of privately managed accounts that a hedge fund can manage? Does it vary state to state or not limit? Thanks Dominic
