Form ADV Part 1 Annual Amendment

January 06, 2015

As an investment adviser, your firm is responsible for preparing and filing through the IARD system a Form ADV Part 1 Annual Amendment that must be submitted each year no later than 90 days after your investment adviser firm’s fiscal year end.

RIA Compliance Consultants is still available to assist your investment adviser firm with preparing and filing your Form ADV Part 1 Annual Amendment. Our consulting fee for this service is $400.  Please click here for more information about this service or to purchase this service and engage RIA Compliance Consultants to assist you with your Form ADV Part 1 Annual Amendment.

Finally, to the extent that you intend to prepare on your investment adviser firm’s own the Form ADV Part 1 Annual Amendment, we recommend that you participate in our upcoming webinar, “Preparing Your Form ADV Annual Amendment” scheduled for January 22, 2015. During this webinar, RIA Compliance Consultants will discuss the items that must be updated as part of the Form ADV Part 1 Annual Amendment. Additionally, we will review some of the common mistakes we see when investment advisers are filing their Form ADV Part 1 Annual Amendments. Finally, we will discuss some of the other amendments and filings that may need to be made with your annual amendment. Please click here to purchase this webinar for only $69.95.

If you have any questions regarding the Form ADV Part 1 Annual Amendment service or any of the other services provided by RIA Compliance Consultants, please contact your consultant if you are an existing client or if you have not previously worked with RIA Compliance Consultants, click here to schedule a time to speak with one of our consultants.

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