Preparing Your Form ADV Annual Amendment

January 03, 2015

Your investment adviser firm’s Final Renewal Statement and report are now available for viewing and printing.

RIA Compliance Consultants recommends that your registered investment adviser firm download and review these reports.  The Final Renewal Statement will indicate if any additional fees are due by the deadline of January 16, 2015.

If your investment adviser firm has a fiscal year end of December 31, your investment adviser firm should begin preparing the required Form ADV annual updating amendment. The Form ADV annual amendment must be submitted through the IARD system within 90 days of the investment adviser firm’s fiscal year end. An investment adviser firm 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. If an investment adviser firm has a fiscal year end other than December, the investment adviser must make sure to file its annual updating amendment within 90 days of its fiscal year end.

RIA Compliance Consultants 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 amendment 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 22, 2015, at 12:00 CST, click here.

RIA Compliance Consultants 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 Annual Amendment, IARD, Renewals