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 […]
If your investment adviser firm is required to file Form 13F, please be aware that your firm is now required (subject to certain exceptions) by the United States Securities and Exchange Commission ("SEC") to file an annual report on Form N-PX by August 31, 2024. This report will cover the most recent 12-month period ending […]
As you start the new year, it is crucial for your investment adviser firm to evaluate whether it is required to file Form 13F. The Form 13F filing is mandated by the U.S. Securities and Exchange Commission (SEC) for investment adviser firms which exercise investment discretion over $100 million or more in Section 13(f) securities […]
To the extent that your investment adviser firm's fiscal year end is December 31, then it must file the Annual Update to the Form ADV within 90 days of the fiscal year. When your investment adviser submits its annual updating amendment, you must update its responses to all items in Part 1A, 1B, 2A and […]
If your investment adviser firm's fiscal year end is December 31, then it has 90 days from the fiscal year end to file the Form ADV Annual Amendment.
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 […]
As you start the new year, it is crucial for your investment adviser firm to evaluate whether it is required to file Form 13F. The Form 13F filing is mandated by the U.S. Securities and Exchange Commission (SEC) for investment adviser firms which exercise investment discretion over $100 million or more in Section 13(f) securities […]
