Category Archives: Form ADV Annual Amendment

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.

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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.

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