Regulatory Alerts2026-03-31 | 2026-06229Added
Performance-Based Investment Advisory Fees
The Securities and Exchange Commission intends to issue an order adjusting for inflation the dollar amount thresholds in Rule 205-3 under the Investment Advisers Act of 1940. This order will increase the minimum net worth requirement for a qualified client from $2,200,000 to $2,700,000 and the assets-under-management threshold from $1,100,000 to $1,400,000. The adjustments are mandated by the Dodd-Frank Act and calculated using the Personal Consumption Expenditures Chain-Type Price Index.
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