2020 IARD Renewal Service and Form ADV Annual Amendment Package with ADV Part 3 Drafting
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Product Description
he IARD Renewal Service is to assist an investment adviser with the year-end state renewal process in order for the investment adviser firm to remain properly registered or notice filed and its investment adviser representatives to remain properly licensed. RIA Compliance Consultants notifies the investment adviser of important dates and provides follow-up reminders throughout the renewal period. Additionally, we retrieve from the IARD/CRD system and provide important reports to assist with the renewal process. We will also monitor the investment adviser’s renewal account to verify that the account is funded in a timely manner; reminders will be provided until we verify that funding is credited to the account.
The ADV Annual Amendment Service provided by RIA Compliance Consultants is to assist an investment adviser with preparing and filing through the IARD system the Form ADV Part 1 annual amendment that an investment adviser must file within 90 days of the investment adviser's fiscal year end.
RCC will prepare one (1) investment advisory Client Relationship Summary/Form ADV Part 3 (“Form ADV Part 3”). Client will be required to complete RCC’s online questionnaire for the Form ADV Part 3 Drafting Service. Upon Client’s approval of the draft Form ADV Part 3, RCC will file the Form ADV Part 3 with the SEC via the IARD system.
After receiving the online payment for this service, we will send you an email requesting that you execute an electronic contract. (If you would like to view or execute this electronic engagement now, please click here). Once we have received your executed agreement along with your online payment, we will email you instructions on how to provide RIA Compliance Consultants with user access to your IARD/Web CRD Account. This will allow us to prepare and submit documents on your behalf.