Compliance Solutions for Investment Advisers

Last Day to File Annual Amendment

Because this year is a Leap Year, the deadline for filing your annual amendment is March 30th and not the usual March 31st.

Also, once you are done with your annual amendment filing, you still have one additional “ADV” obligation . . . 

Each year you must (i) deliver, within 120 days of the end of its fiscal year, to each client a free updated brochure that either includes a summary of material changes or is accompanied by a summary of material changes, or (ii) deliver to each client a summary of material changes that includes an offer to provide a copy of the updated brochure and information on how a client may obtain the brochure.

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