RIAs and ERAs registered at the state or federal level must file this year’s required Form ADV annual updating amendment within 90 days of the firm’s fiscal year end. Generally this means that firms who finalize their year as of December 31, must file on or before March 31. While, this date can change moderately from year to year due to events like the inclusion of February 29th as a “leap year”, the U.S. Securities and Exchange Commission has advised that the Investment Adviser Registration Depository system will be open on Saturday March 31, 2018 from 8am-6pm Eastern Time. On that date RIAs and ERAs will be able to submit filings including the annual updating amendment.
Further information and resources can be found at:
- Instructions to Form ADV: http://www.sec.gov/about/forms/formadv-instructions.pdf
- Investment Adviser Public Disclosure Website: http://www.adviserinfo.sec.gov/IAPD/Content/IapdMain/iapd_SiteMap.aspx
- Central Registration Depository System: http://crd.finra.org/iad