The SEC issued a Risk Alert on Dec. 16 outlining observations from examinations focused on advisers’ compliance with the Marketing Rule. These findings align with what we continue to see during examinations – the Marketing Rule remains a consistent area of regulatory focus.
Health Forward Foundation named Jim Casselberry as its next cio to oversee its approximately $908.7 million investment portfolio.
Colin Morris has joined Metis Global Partners as senior director of business development.
A total of 315 products were considered and managers were ranked based on the following criteria: excess returns over the benchmark, performance versus peers, product asset growth, product asset percentage growth and information ratio.
ADV season comes around each year like clockwork, often bringing the same kinds of questions and potential headaches. Every Registered Investment Adviser (RIA) is required to file their Annual ADV amendment within 90 days of their fiscal year end.
Hispanic-owned alternative asset manager Clearlake Capital Group has entered into a definitive agreement to acquire private markets solution provider Pathway Capital Management.
Max Messervy has launched Oakledge Advisors, a new institutional investment consultant focused on environmental sustainability and value alignment.
How will you make yourself more compelling against much of your competition? This column from Bruce Frumerman posits three recommendations.
Every year, the National Society of Compliance Professionals hosts a two-and-a-half-day conference providing a wealth of educational and networking opportunities.
The $79.2 billion Teachers’ Retirement System of Illinois has hired Catherine Lynch as a senior investment analyst in private equity.
The announcement of the finalists in our annual Emerging Manager Awards.