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Investment Advisor Alert: Annual Updating Amendments to Form ADV due March 31, 2018

February 08, 2018

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This is a reminder that registered investment advisors and "exempt reporting advisors" with fiscal years ending December 31st must complete their annual updating amendments to Form ADV by March 31, 2018. 

Updates must be completed through the Investment Advisory Registration Depository (IARD) website (available here: which can be accessed by the Super Account Administrator appointed at the time of the advisor’s initial registration with IARD. Prior Funding of the advisor’s Flex Funding Account may also be required to pay annual fees. 

Note: In September of 2017 Form ADV was amended to allow "umbrella registrations" by certain filing advisors and their "relying advisers."

For more information, please contact:

K. Bradley Rogerson

415-995-5898 Direct Phone
415-995-3529 Fax

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