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How often are investment advisor registrations renewed?


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State investment advisor registrations and notice filings expire every year on a calendar basis. All renewal fees are paid during the IARD renewal season which takes place during November and early December each year.

The SEC does not charge an initial or annual investment advisor registration renewal fee; however, SEC firms failing to file their Annual Form ADV Part 1 Amendment in a timely fashion may have their investment advisor registrations withdrawn.

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