entity · derived

Aum thresholds

2 claims across 1 works, 2013–2013.

Derived node: assembled mechanically from the claims carrying aum-thresholds. A roster, not an adjudicated definition.

Every claim under this term

• 2337268-027 2013 condition: An adviser that would otherwise have to register in fifteen or more states because of the $100 million AUM threshold may register directly with the SEC instead, so multi-state registration burden oper
• 2337268-028 2013 condition: Investment advisers that provide advice exclusively through the Internet may register with the SEC regardless of how much they have under management, so the delivery channel rather than size determine

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