Annual Form ADV Requirements for Investment Advisers

Registered investment advisers are required to update their Form ADV at least annually and often more frequently when certain changes occur. This alert briefly reviews those requirements and some other important matters. Please contact us if you need our help to meet any of your filing deadlines or other obligations discussed below.

A. SEC Registered Investment Advisers

1. Annual ADV Update. An adviser registered with the Securities and Exchange Commission (the SEC) must amend its Form ADV each year by filing an annual updating amendment within ninety days after the end of its fiscal year. The amendment should update responses to all items in the Form ADV. SEC registered advisers must make all amendments to Part I of Form ADV electronically using the Investment Adviser Registration Depository (IARD) system unless the adviser has received an exemption. The advisers annual renewal fee for IARD is due at the time of its annual updating amendment.

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