An investment adviser firm must give a firm brochure to each client before or at the time you enter into an advisory agreement with that client. See SEC Rule 204-3(b) and similar state rules. Each year an investment adviser must (i) deliver, within 120 days of the end of your fiscal year, to each client […]
When does my investment adviser firm need to provide clients with its updated Form ADV Part 2A brochure?
November 01, 2019
The updated Form ADV Part 2A brochure will need to be provided going forward to all new clients and existing investment advisory clients requesting a current version of the brochure. However, an investment adviser firm is not required to send a revised Form ADV Part 2A brochure to all existing investment advisory clients every time […]