Are you in need of investment transition advising to file with the appropriate regulator? Did you recently complete your annual amendment filing reporting $100 million or more in regulatory assets under management? If so, and you are currently a state registered firm, are you aware that you now need to transition your firm’s state registration to federal registration with the Securities and Exchange Commission (SEC)? Your requirement to transition your firm’s registration is 90 days after the March 31 deadline for filing your annual amendment. Do you know what happens to your Investment Advisor Representatives individual state registrations? These are all important questions you need to have answered by an experienced RIA compliance consultant usa. If you are at a cross roads not knowing where to turn to understand all the timing and filing requirements call Registered Advisor Services today for a consultation to help simplify the process!
