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F.(2)(c) of Form ADV total regulatory assets under management.
Investment advisers registered with the Commission or applying for registration with the Commission will still be subject to applicable state Notice Filing fees associated with any amendment or initial registration filing.These responses represent the views of the staff of the Division of Investment Management.They are not a rule, regulation, or statement of the Commission, and the Commission has neither approved nor disapproved this information.(Updated September 29, 2017) Q: I am a pension consultant who relies on Rule 203A-2(a) under the Investment Advisers Act of 1940 to register with the SEC. A: Your fees are based on regulatory assets under management, even if your regulatory assets under management are not the basis of your eligibility for SEC registration.I provide pension consulting services to plans with assets in excess of 0,000,000, but I have no regulatory assets under management to report in Item 5. The IARD automatically determines the amount of your fees based on your answer to Item 5.