Keith Gilabert, "Registration requirements for Investment Advisers in California."
by keithgilabert, Window Shopper
- Created: May 13, 2012, 12:21 pm
General rule for registration is if an Adviser has more than $100 million they must register with the SEC. If you plan on managing less than $100 million you are required to register with the State of California. Here is the exemption: (1) has no place of business in the State of California and (2) during the preceding 12-month period has had fewer than six clients who are residents of the State of California. Let me know if you need additional info. Keith Gilabert
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