Tip #4 for an Investment Adviser’s IARD Renewals – Add Key Deadlines to Calendar

November 15, 2019

RIA Compliance Consultants recommends the chief compliance officer (“CCO”) of your investment adviser firm add the following deadlines for IARD renewals and the annual Form ADV amendment to his or her calendar:

  • Preliminary Statements will be available 11, 2019;
  • Payments are due on or before Dec. 16, 2019;
  • Final Payment Statements are released January 2, 2020;
  • Final Statement Payments are due on or before January 17, 2020; and
  • Form ADV Amendment filing due within 90 days of fiscal-year end (for firms with a December fiscal-year-end the filing deadline will be March 30, 2020).

A copy of the IARD Renewal Calendar can be accessed and downloaded by your investment adviser firm at https://www.iard.com/renewal-program .

Posted by Bryan Hill
Labels: Annual Amendment, IARD, Renewals