Investment Advisers Should begin Preparing to Submit their Annual Form ADV Amendment

December 31, 2013

On Thursday, January 2, 2014, Final Renewal Statements and reports are available viewing and printing. Registered investment adviser firms should download and review these reports as soon as they become available; the deadline for receipt of Final Renewal Statement payments in January 10, 2014. Additionally, investment advisers firms with a fiscal year end of December 31 are encouraged to begin preparing their required Form ADV annual updating amendments. The Form ADV annual amendment must be submitted through the Web CRD / IARD system 90 days from an investment adviser’s fiscal year. An investment adviser needs to understand that failure to update the Form ADV, as required by the Form ADV General Instructions, is a violation of U.S. Securities and Exchange Commission (“SEC”) rules and similar state rules that could lead to an investment adviser’s registration being revoked. A registered investment adviser with a fiscal year end other than December must make sure to file its annual updating amendment within 90 days of the investment adviser firm’s fiscal year end.

RIA Compliance Consultant’s is hosting a webinar to help investments advisers prepare the Form ADV Annual Amendment. During this webinar our consultants will review the Form ADV items that are required to be updated annually. Additionally, our consultants will discuss common mistakes seen when investment advisers are filing their annual amdnement and will address some of the other amendments and filings that may also need to be made with the annual amendment.

For more information on this webinar or to register for this event, “Preparing Your Form ADV Annual Amendment,” hosted January 16, 2014, at 12:00 CST, click here.

RIA Compliance Consultant’s also offers an ADV Annual Updating Amendment service. For more information or to purchase this service, please click here.

Posted by Bryan Hill
Labels: Annual Amendment, Form ADV, Form ADV Annual Amendment, Webinar