We want to remind you of your firm’s annual investment adviser registration amendment (Form ADV annual amendment) which must be filed on the IARD system on or before March 31, 2015. This deadline applies to all SEC and State registered advisers as well as Exempt Reporting Advisers (ERAs) with a December 31, 2014 fiscal year end.
Please let us know as soon as you can if you need our assistance in preparing and submitting your Form ADV annual amendment filing this year.
Also, for SEC registered advisers and ERAs, please note that your annual IARD fee must be paid before you can submit your annual amendment. The fees are based on your firm’s regulatory assets under management as follows:
Click here to view table.
To view FINRA’s current IARD Account Payment Methods and Addresses, please click HERE.