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How does an existing investment advisor let the applicable securities regulators know whether the investment advisor is required to register with the state securities regulator or remain registered with the SEC?


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Every investment advisor registered with the SEC as of January 1, 2012 must file an amendment to its Form ADV by no later than March 30, 2012, which discloses its assets under management as of the filing date. For many SEC registered investment advisors, this required amendment will coincide with their annual updating amendment. Once registered with the SEC, an investment advisor can remain registered with the SEC as long as it has at least $90 million of assets under management as of its annual amendment filing.

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