Are Regional Centers Acting As Unregistered Investment Advisors?

Who is Advising the EB-5 Investment Vehicle and in What Capacity

Should EB-5 Issuers Register with RIAs with the State or the SEC

How do EB-5 Issuers Register as Investment Advisors

Investment Advisor Supervisory Responsibilities

Consequences of Not Registering as an RIA

Webinar Slides

Who is advising the investment vehicle and isn't that entity acting as an investment advisor?

In this 50 minute conversation we discuss whether EB-5 issuers are exempt from registering as an investment advisor, whether they need to notify the SEC of their registration exemption and whether they should register with the state?

We discuss what the break-points are regarding assets under management that determine registration requirements; how does one consider whether an offering needs to be integrated with other offerings to determine registration requirements.

We discuss Form ADV; who needs to file it and when? What supervisory procedures does an investment advisor need to undertake and what the consequences are:

And we discuss best courses of action to protect yourself as an EB-5 issuer.