Post Top Ad

Your Ad Spot

Blog Archive

Sunday, January 7, 2018

Important Compliance Dates for First Quarter 2018

By Cory Roberson, Principal at RIA Review and RIA Consults


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

ADV Amendment Filing: due by 3/31/2018

Firms Descriptions
State-registered firms

Due within 90 days of firm’s fiscal year end for most states (03/31/2018).

SEC-registered firms

Due within 90 days of firm’s fiscal year end.
Filing fees are also due at the time of annual amendment.  (03/31/2018). 

SEC Filing Fees (Initial/Amendments): due by 3/31/2018

Fees Firm Assets under Management (AUM)
$225 - Firms over $100 million in AUM
$150 – Firms between $25 – 100 million in AUM
$40 – Firm with less than $25 million in AUM

Annual Financial Statements: Due by 03/31/2018

State-registered firms – Some states require an annual submission of balance/income sheets. Determine if your firm must also file financial statements. Generally, these are due within 90 days after the firm’s fiscal year end.

SEC-registered firms -  Except for audited reports for firms with custody, advisors are not required to send financial statements (balance/income sheet, ledger) annually. 

Sign up for a version of our software for a full list of calendar dates for 2018. 

Click box below or go directly to:

Some states that require annual submissions by registrants

States: Details:
California requires financial statements for discretionary managers and/or advisors with custody. 

New York requires financial statements for state registered advisors.

Florida requires audited financial statements for advisors with custody and unaudited financial statements for advisors with no custody or discretion - mail directly to office

Alabama requires audited financial statements within 60 days of firm's fiscal year end.  

Other States Net capital financial requirements are for firm’s home states only (location of main office).  

Login for a list of all state jurisdictions at:

Note:  States have annual financial reporting and/or bonding requirements for firms who have constructive* custody of client assets or securities. 

Compliance and Business Management

FIN Compliance ( is a consortium of compliance services including: RIA Consults-Roberson Consults Group, a compliance consulting firm, RIA Review, a compliance-management software tool (SaaS), B-D Review, a RIA/Broker-Dealer compliance management software tool, and FINLancer is a business management portal featuring:  E-signature tools; Invoicing integration, Vendor Directory, continuity directory*, business client document portal, and more (available by Q3 2019).  Access all services on one site:


FIN Missions ( provides business support group sessions for other entrepreneurs.  In addition, Cory has volunteered for more than fifteen youth programs in locations such as like S. Korea, China, S. Africa, Thailand, and India.

No comments:

Post a Comment

Post Top Ad

Your Ad Spot