Lexington Compliance and RIA in a Box LLC do not provide legal advice or opinions to any party or client.
You should always consult your relevant regulatory authorities or legal counsel if applicable.
These SEC annual amendment fees are charged in addition to the annual notice-filing and individual investment adviser representative registration fees which were previously charged to RIA firms in December by the relevant states to firms registered at the federal level.
Th Lexington Compliance and RIA in a Box LLC are not law firms, investment advisory firms, or CPA firms.
As is typical, most investment advisory firms appear to be waiting to file the mandatory annual renewal amendment until closer to the March 31, 2017 deadline.
Traditionally, the SEC amendment fee for RIA firms with over 0 million in regulatory assets under management ("AUM") is 5.
For SEC-registered firms with between -0 million in AUM, the fee is 0 and for the SEC-registered firms with less than million in AUM, the fee is .
A staff summary of changes adopted to Form ADV Part 1A that were implemented on October 1, 2017 is available here: https://gov/rules/final/2016/ia-4509
Q: What are the fees for advisers registering/registered with the SEC filing on IARD?