All Registered Investment Advisers (“RIAs”) are required to file their Annual Updating Amendment (“AUA”) within 90 days after their fiscal year end.
Bates Compliance assists our clients in the following ways:
Review the RIA’s client base to confirm firm registrations and notice filings are made in the appropriate jurisdictions.
Review Preliminary and/or Final Renewal Statement to confirm adequate funding is available in the RIA’s account.
Update the RIA’s Form ADV 1, ADV 2A, Form CRS (if applicable), ADV 2Bs and other documents as needed through communications with and data provided by the RIA.
Upload/Submit all required documents via the IARD Portal.
This service assists RIAs with all required updates to various filing documents. New registrations in additional jurisdictions, IAR registration, or writing new regulatory disclosure content, are distinct from the AUA program, and may be added as a separate service.
