Educational Resources

Account Information

• With our global financial advisor account structure, advisors can support clients from over 200 countries and territories with a single, integrated advisor master account.
• Advisers should conduct their own research and/or seek legal advice regarding their registration requirements. Advisor registration requirements and the number of clients an advisor can have without registering vary by jurisdiction. For example, advisers in the US must be registered with the SEC if they have more than $100 million AUM or with the state(s) where they operate for (US securities) if they have more than $25 million AUM or a certain number of clients specified by the state (typically 1 or 6), unless you fall under an exemption from registration. Similarly, advisors who hold themselves out to the public for commodities must register with the CFTC and become an NFA member unless you fall under an exemption from registration.
• The account can be white branded with an advisor's corporate identity.
• Advisor master account holders must be age 21 or older.
• Professional Registered Investment Advisors can create multiple tier accounts by adding Advisor, Proprietary Trading Group Separate Trading Limit (“STL") and Multiple Hedge Fund master accounts to their account structure. Each Advisor, Proprietary Trading Group STL and Multiple Hedge Fund master account on the second tier can add client/sub/hedge fund accounts as required. Individual and Joint account holders under an Advisor account structure can add authorized traders to become STL accounts.