Form ADV annual amendment deadline

SEC · Annually · 90 days after fiscal year end

An SEC-registered investment adviser files an annual updating amendment to Form ADV Parts 1 and 2 within 90 days of the end of its fiscal year (17 CFR 275.204-1(a)(1)). For a December 31 fiscal year end, that's March 31, or March 30 in a leap year.

Your financial year end

Next due—

Check the date against your own records.

What to update

Part 1A, filed through IARD
Part 2A, the brochure
Part 3, the relationship summary (Form CRS), as often as the Form ADV instructions require

Between annual amendments

The annual amendment isn't the only one. Rule 204-1 also requires you to amend Form ADV more often when its instructions say so, so check them whenever something in your filing changes.

Telling your clients

If your brochure has changed materially since the last annual amendment, deliver to each client, free of charge, the current brochure or a summary of the material changes that offers the brochure, within 120 days of your fiscal year end (17 CFR 275.204-3(b)(2)). For a December 31 year end, that's April 30, or April 29 in a leap year.

Also on the calendar

Private fund advisers with at least $150 million in private fund assets also file Form PF within 120 days of the fiscal year end, and managers of $100 million or more in 13(f) securities file Form 13F every quarter.

Get reminded before it's due

Regmindr tracks this alongside the rest of your compliance calendar, and emails your team before each deadline. Set it up from your year end in about two minutes.

Set up your compliance calendar See pricing

Sources

This page is a summary, not legal or regulatory advice. The rules in the sources above take precedence.