On November 12, 2018, the preliminary renewal statements for every registered investment adviser ("RIA") firm were posted on the Investment Adviser Registration Depository ("IARD") website. A firm’s failure to pay renewal fees to the proper jurisdiction(s) will result in the termination of the firm’s registration. To help navigate imperative deadlines associated with the 2018-2019 renewal process, we created an easy to follow infographic.
This complementary and informative infographic contains:
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Note: RIA in a Box LLC is not a law firm, investment advisory firm, or a CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities as this information should not be relied upon as currently accurate. This information is provided for educational purposes only and is not an exhaustive list of regulatory requirements.