SEC Requirement: Annual Amendment for Form ADV

WHAT HAPPENED?

The SEC requires that investment advisers file a form ADV Annual Amendment within 90 days of the end of the adviser’s fiscal year. If your fiscal year ended Dec. 31, you will be required to file an annual amendment to your Form ADV by March 31, 2021.

These filings are completed on the Investment Adviser Registration Depository (IARD), which must be funded to make the annual amendment filing. The filing fee varies, depending on your assets under management.

WHAT DOES THIS MEAN FOR ME?

You may have received a notification from IARD regarding the update and funding requirements. Fairview is working on annual amendment drafts for its clients to ensure deadlines are met. Please contact Fairview if you have any questions or concerns about your Form ADV Annual Amendment.

By | 2022-07-12T11:50:35-04:00 Mar 3rd, 2021|Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

About the Author:

Founded in 2005 with the goal of developing streamlined solutions for investment advisers, Fairview® is now servicing investment advisers, foundations, and funds with nearly $300 billion in collective assets.