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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. 

Our Mission: “Serving the Investment Community to Make a Social Impact”

Cory Roberson is Principal of RIA Review, a compliance and document management portal ( - 110+ users and growing.  He is also Principal of RIA Consults -Roberson Consults Group), a consulting firm providing compliance, operations, and business development services for registered investment advisors and next-gen fintech entrepreneurs ( more than 160 SEC & State advisors clients across the US (including a few in Europe).  His third platform, RegTech Review, a FinTech compliance portal site: ( is currently in prototype stage.   

As a social entrepreneur, through his mission-driven arm SoCap Missions (, he provides business support group sessions and has volunteered for more than 15 youth programs in locations such as S. Korea, China, S. Africa, Thailand, and India.

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