Many wealthy families create investment management entities, family offices, and private trust companies to manage their investments and provide fiduciary and other services. Most provide some form of investment advice to individual family members, trusts for their benefit, or other family entities, and without an exemption, these family offices would be “investment advisers” for purposes of the Investment Advisers Act of 1940.
SEC Investment Adviser Guidance for "Family Offices"
To Register or Not? SEC Investment Adviser Guidance for "Family Offices"
Volume 26 No. 05
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Memorandum for Authors
(Last Updated January 2013 - PDF)
Frequently Asked Questions By Prospective Authors
Reprint Permission Policies
The Section's Executive Committee approved these updated policies in November 2011.
