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Jun 5, 2007 11:57 am

I'm looking to advise and get compensated for advising one client.  I live in OH.  He lives in CA. Assets would be under $25M.  I'm currently not affiliated with an RIA or Broker Dealer.


Do I need to set up a fully registed Investment Advisor?  State only?  It appears that I may not need to register at all.  Any ideas?


Thanks,


Gib 


Jun 5, 2007 12:01 pm
gibbyw:

I'm looking to advise and get compensated for advising one client.  I live in OH.  He lives in CA. Assets would be under $25M.  I'm currently not affiliated with an RIA or Broker Dealer.


Do I need to set up a fully registed Investment Advisor?  State only?  It appears that I may not need to register at all.  Any ideas?


Thanks,


Gib 




You're just messing with us, right?

Jun 5, 2007 12:10 pm
gibbyw:

I'm looking to advise and get compensated for advising one client. I live in OH. He lives in CA. Assets would be under $25M. I'm currently not affiliated with an RIA or Broker Dealer.



Do I need to set up a fully registed Investment Advisor? State only? It appears that I may not need to register at all. Any ideas?



Thanks,



Gib







Is your name "Rainman?"

Jun 5, 2007 1:45 pm
gibbyw:

I'm looking to advise and get compensated for
advising one client.  I live in OH.  He lives in CA. Assets
would be under $25M.  I'm currently not affiliated with an RIA or
Broker Dealer.


Do I need to set up a fully registed Investment Advisor?  State
only?  It appears that I may not need to register at
all.  Any ideas?


Thanks,


Gib 





You would fall under the de minimus exception, but if you keep doing this sort of thing, eventually you would have to register.

Jun 14, 2007 10:48 pm
Oldproducer:
gibbyw:

I'm looking to advise and get compensated for advising one client.  I live in OH.  He lives in CA. Assets would be under $25M.  I'm currently not affiliated with an RIA or Broker Dealer.



Do I need to set up a fully registed Investment Advisor?  State only?  It appears that I may not need to register at all.  Any ideas?



Thanks,



Gib 






Is your name "Rainman?"


Its actually Raymond, you're just an idiot... savant.

Jun 25, 2007 8:12 am

Register as an RIA and find 3-4 more people like this.
Then sell the firm to a large bank who wants the money. LOL