Tag Archives: State Registered Firm

Submission of Annual Financial Statements in Certain States

January 24, 2023

As a state registered investment adviser firm completes its Form ADV Annual Amendment, it’s important not to forget that many state securities regulators also require a state registered investment adviser firm to submit annual financial statements and/or other documents (e.g., proof of continued coverage of a surety bond, investment advisory client agreement if material changes) directly to the state securities regulator (outside of the IARD/CRD system).

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2023 Preliminary Renewal Payment Deadline

November 19, 2022

The Preliminary Renewal Statement for an investment adviser firm must be paid, in full, by Monday, December 12, 2022. Depending on the method of payment, it may take at least two days for a payment to post to the IARD account.

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