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

December 22, 2021


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Annual Amendment ServiceInvestment Advisers’ Final Renewal Statements and reports will be available for viewing and printing on January 2, 2022. All registered investment advisers should download and review these reports; Final Renewal Statements will indicate if any additional fees are due and these payments are due by January 22, 2022. Additionally, investment advisers 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 IARD system within 90 days of the investment adviser’s fiscal year end. Investment advisers need 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 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.

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General Disclosure

The information contained in this blog post is general in nature intended for educational purposes only and is not intended to be a comprehensive analysis of this topic. It is not intended to constitute compliance consulting advice or apply to any particular investment adviser firm’s specific situation. For more information, please see our Disclosures webpage.

Posted by RCC Admin
Labels: ADV Annual Offer Letter, Annual Amendment, IARD