Happy New Year! With the New Year comes the requirement of filing your registered investment advisory (RIA) firm’s updating annual amendment of your Form ADV. This requirement to file is due within 90 days of your RIA firm’s fiscal year end. Most firms have a December 31 fiscal year end. If so, your amendment will be due by March 31, 2016. This is the filing where your firm will report its regulatory assets under management, types of clients, number of accounts, etc. If you need assistance or have questions about this important filing, call Registered Advisor Services (603) 292-6772 today!
