Reminder: Form ADV Annual Amendment Due April 1

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Explore:  Form ADV SEC

As a reminder, all SEC-registered advisers, state-registered advisers, SEC-exempt reporting advisers and state-exempt reporting advisers with a fiscal year ending December 31, 2012 must update and file their Form ADV by April 1, 2013. The Form ADV should be updated by filing an annual amendment through the Investment Adviser Registration Depositary (IARD) website.

Advisers should note that the IARD system will be unavailable between March 29, 2013 and March 31, 2013, and therefore should complete their filings as soon as possible. More information on the IARD system’s availability can be found here.

In addition, advisers are reminded that annual renewal fees are associated with updating the Form ADV. Advisers should ensure that their IARD accounts are adequately funded as filings otherwise will not be accepted.

Topics:  Form ADV, SEC

Published In: Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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