Thursday, March 5, 2015

2015 - ADV Amendments/Financial Statements Due*

Please note the following deadlines (calendar based fiscal year end firms*):  

ADV Amendment due - 03/31/2015 - 90 days after firms fiscal year-end*
  • State-registered firms - determine if your firm must also file financial statements**
  • SEC-registered firms -  filing fees are also due at the time of annual amendment (no financial statements due)

Financial Statements due - 03/31/2015 - 90 days after firms fiscal year end**
  • California (state registrants only) requires financial statements for discretionary managers and/or advisors with custody. 
  • New York (state registrants only) requires financial statements for state registered advisors.
  • Florida (state registrants only) requires financial statements (audited) for advisors with custody and/or (unaudited) for advisors with no custody or discretion - mail directly to office
  • Alabama (state registrants only) requires financial statements (audited) - within 60 days for firm's fiscal year end 
**Net capital financial requirements are for firms home states only (location of main office).  

Contact me for information on other states. 

Advisors adding clients in new states:
  • Please add fees directly to web CRD/IARD daily account and let me know so that we can complete the annual filing process at the same time. 
Thank you,


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