Welcome to March 1st! With Spring right around the corner, so is your filing requirement for your Annual Amendment Form ADV, if your registered investment advisor firm’s fiscal year end is December. This filing reports your regulatory assets under management, number of accounts, types of clients, and any other changes to your Form ADV that may be needed at this time. Be sure to update your documents to capture any and all changes in your business model and timely file by the March 31, 2016 deadline. This filing helps you maintain compliance with both the state and federal regulatory requirements.
If your investment advisory firm is state registered, remember that you may have state specific filing requirements, in addition to your annual amendment filing that are also due by this March deadline. The common filing requirement is to provide your December 31 financial statements to the state regulator. Stay in compliance with your firms state regulations by submitting these documents in a timely manner.
If you need assistance with your ongoing compliance requirements, contact Registered Advisor Services for assistance!
