ADV Amendment and Renewal Services

How Vital Are Annual Amendments And Renewals?

Many firms in the RIA space start out being cautious and careful, but over the years get comfortable and allow things to slip. Your RIA is required to pay annual renewal fees every year. Did you know that if you fail to pay your annual renewal registration fees in time, your firm is at risk of having its registration revoked, or worse, issued a fine by the regulator? It’s easy to make costly mistakes as part of these processes, so why take the risks? Simply rely on the team here at RIA Compliance Concepts.

Our ADV amendment and renewal services are designed to be proactive and prevent the worst from happening. We start the process of conducting a registration review in a few months before your annual registration renewal statement is issued. We review the status of the firm’s state registrations and review if your RIA is required to be registered in other state jurisdictions.

Another vital aspect of this process is to ensure that you satisfy your mandatory annual amendment requirement, which must be submitted every year within 90 days of the end of the fiscal year. Our expert advisers can ensure that your Form ADV amendment is submitted on time, without mistakes or omissions. Similarly, you don’t want to skimp on your amendment requirement, which must include a full accounting of any changes and complete documentation.

We also offer several options for assistance with annual review and amendment filings, so there’s bound to be a choice that fits the needs of your organization: 

  • Tier 1 - Form ADV amendments with the mandatory updates. 

  • Tier 2 - Form ADV amendments with up to two material changes. 

  • Tier 3 - Form ADV amendments with 3+ material changes. 

When it comes to your yearly ADV amendment and renewal services, you can feel safe in our hands. RIA Compliance Concepts responds to your questions quickly and offers plenty of practical guidance, ensuring you are never left in uncertainty as you file your vital documents.

© 2020 by RIA Compliance Concepts | Austin

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