Annual Updating Amendment Filing Services

Let Bates Compliance ensure the accurate and timely filing of your firm’s Annual Updating Amendment (AUA). 

All firms are required to file their AUA within 90 days of their fiscal year end, but, prior to filing, the firms must fund their IARD account for all state and representative renewal fees. 

Bates Compliance offers two services to assist firms with this filing. The first is our Annual Updating Amendment Filing, where a Bates Compliance consultant will work with your firm to review the items required for the update, organize the information and file it on your behalf. 

The second service, Annual Amendment and Review Service, also completes the Annual Updating Amendment filing, but will also review the firm’s client base to confirm the adviser is registered in all required states, and that the firm isn’t paying renewal fees in any state where it is below the state’s de minimis client exemption, as well as provide you with a copy of the firm’s renewal statement to confirm accurate and timely funding of your IARD account. 

Whatever your needs, Bates Compliance will work with you to ensure your firm’s Annual Updating Amending filing is complete and filed on time.