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Event Series: Deadline for Filing Form ADV Annual Amendment

Deadline for Filing Form ADV Annual Amendment

March 28

« Form 13H Annual Filing Deadline
Review Q1 Personal Securities Transactions »

If your investment adviser firm’s fiscal year end is December 31, then it has 90 days from the fiscal year end to file the Form ADV Annual Amendment.

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Details

Date:: March 28
Series:: Deadline for Filing Form ADV Annual Amendment
Event Tags:: Form ADV Annual Amendment

Organizer

: RIA Compliance Consultants, Inc.

Related Events

State Registered Firms – Verify Whether Annual Financial Statement Must Be Submitted to Regulator
November 20
Prepare Information for Form ADV Annual Amendment
December 18
Prepare the Form ADV Annual Amendment
January 3, 2026

« Form 13H Annual Filing Deadline
Review Q1 Personal Securities Transactions »

RIA Compliance Consultants|877-345-4034|

*RIA Compliance Consultants, Inc. (“RCC”) is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.

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