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RIA Registrar’s annual renewal service ensures your firm is properly registered with both the SEC and state agencies.

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RIA Annual Renewal

Annual renewals for RIAs and their firms are administered through the IARD Renewal program (IARD: “Investment Advisor Registration Depository”). The IARD is an electronic filing system that handles various things, including public access to information about investment advising firms. It also addresses regulatory reviews, registrations, and adviser filings. IARD was created by FINRA (the Financial Industry Regulatory Authority) and sponsored by the SEC and the North American Securities Administrators Association (NASAA).

The RIA Registrar Annual Renewal Includes:

Updating ADV Part I

Form ADV is the “Uniform Application for Investment Advisor Registration and Report by Exempt Reporting Advisors”. This form is close to 50 pages in length, including all schedules and amendment pages. A highly edited sampling of what it includes follows:

Preparation of a list of documents that will require submission

As the list above indicates, a great deal of documentation may be required to complete the renewal process. RIA Registrar knows how to efficiently obtain and manage the documents often needed for renewal.

Delivery of all fees to the appropriate regulatory authorities on time

A perfectly prepared document that arrives at its proper destination without the required fees does your firm no good. RIA Registrar organizes everything for your renewal so that the right agencies receive the money required. While we do not include any state fees in our renewal package price, RIA Registrar calculates the amount you owe.

Assisting with any additional requirements and documents

During the preparation for the renewal process, various issues may arise. As your back office support team, RIA Registrar can assist you in resolving those matters.

One facet of the annual renewal process is updating and amending numerous documents. However, having all the proper documentation prepared is only one part of the renewal process. All of those items must be dispatched to the proper offices and authorities on a timely basis. RIA Registrar has the experience to make the RIA annual renewal process go smoothly so that you may continue to give sound investment advice to your clients.

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