RIA Compliance Consultants, Inc.

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Event Series Review Q1 PST

Review Q1 Personal Securities Transactions

An investment adviser firm is required to review and monitor the personal securities transactions ("PST") by "access persons" in order to prevent inappropriate trading. Each access person needs to report his or her personal securities transactions (direct and indirect beneficial ownership) within 30 days of the end of each calendar quarter. If you are a […]

Delivery of Form ADV Part 2A to Existing Clients

An investment adviser is required to deliver to each client, annually within 120 days after the end of the investment adviser’s fiscal year and without charge, if there are material changes to the investment adviser’s brochure since the investment adviser’s last annual updating amendment: (1) a current copy of the investment adviser’s disclosure brochure (Form […]

Event Series Q1 Form 13F Filing

Q1 Form 13F Filing

If your investment adviser firm is required to file the Form 13F, the first calendar quarter (January 1 – March 31) filing is due within 45 days of the end of the first calendar quarter. Background Information: If your investment adviser firm had discretion over $100 million or more of 13(f) securities on the last […]

Prepare the Form ADV Annual Amendment

An investment adviser with a fiscal year end of December 31 is 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. If an investment adviser firm is state registered, it should […]

Delivery of Form ADV Part 2A to Existing Clients

An investment adviser is required to deliver to each client, annually within 120 days after the end of the investment adviser’s fiscal year and without charge, if there are material changes to the investment adviser’s brochure since the investment adviser’s last annual updating amendment: (1) a current copy of the investment adviser’s disclosure brochure (Form […]