Minimum net worth requirements

Below is a summary and is not inclusive of all requirements under HAR §16-39-433

  • No custody or discretionary authority - $5,000
  • Custody of client funds or securities - $35,000
  • Custody due to direct fee deduction - $5,000
  • Custody due to advising a pooled investment vehicle - $5,000
  • Discretionary authority only - $10,000
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Tung Chan

Commissioner

Tung Chan