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Prepare the Form ADV Annual Amendment
January 3
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 be noted that certain state securities regulators have additional renewal requirements beyond the IARD renewal statements and Annual Form ADV Amendment. Each state has its own deadline for these miscellaneous requirements, so it is important to check directly with the states where the investment adviser firm is state registered.
Related Resources:
- Form ADV Annual Amendment Service
- RCC’s 2023 Form ADV Annual Amendment Questionnaire
- Recorded Webinar: Reviewing & Updating Form U4 & Form ADV Part 2B
General Disclosure:
The information contained in this sample calendar event is general in nature intended for educational purposes only and is not intended to be a comprehensive analysis of this topic. This sample compliance calendar event does not necessarily reflect the requirements of your investment adviser firm’s compliance manual. Securities regulations and corresponding deadlines are subject to change, and this calendar event may not reflect the most current requirements. This calendar event does not create a consulting engagement with RIA Compliance Consultants, Inc. and is not intended to constitute compliance consulting advice or apply to any particular investment adviser firm’s specific situation. Please consult the applicable securities regulator’s rules and published guidance for more details and the most current requirements about the topics referenced above.
