IA Registration Requirement

Overview

This topic page provides guidance as to when an entity may be required to register as an "investment adviser" pursuant to Advisers Act Section 202(a)(11) (and the related topic page on the Definition of Investment Adviser) and rSection 203 (which sets out the registration requirement). The materials on this page deal with topics such as whether the provision of information or standardized analysis of that information constitutes "investment advice," jurisdictional issues, and exemptions available to firms providing advice to limited types of clients.

There are a number of other topic pages relating to investment adviser registration that deal with more specific registration requirement issues including the topic pages on Private Fund Adviser Exemption; on Non-U.S. Advisers; on Venture Capital Fund Advisers; on Family Offices; and on the Definition of the Term Investment Adviser.

Similar registration questions arise as to commodity pool operators and commodity trading advisors: see the CPO / CTA Registration Requirements page.

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