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Bates Compliance - Annual Updating Amendment (AUA) Service for RIAs

Bates Compliance - Annual Updating Amendment (AUA) Service for RIAs
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All Registered Investment Advisers (“RIAs”) are required to file their Annual Updating Amendment (“AUA”) within 90 days after their fiscal year end.

Bates Compliance will assist in the following ways:

  • Review Preliminary and/or Final Renewal FINRA Statement to confirm adequate funding is available in the RIA’s FINRA account.
  • Update the RIA’s Form ADV 1, ADV 2, and other documents as needed through communications with and data provided by RIA.
  • Review the RIA’s client base to confirm firm registrations and notice filings are made in the appropriate jurisdictions.
  • Upload/Submit all required documents via FINRA’s IARD/CRD Portal.

This service assists the RIA with all required updates to various filing documents. New registrations in additional jurisdictions, IAR registration, or writing new regulatory disclosure content for an RIA, are distinct from the AUA program, and may be added as a separate service. This service is also included in our Annual Compliance Program Support package.

To Learn More, Please Contact:

Bates Compliance - Annual Updating Amendment (AUA) Service for RIAs

Rory O'Connor

Director of Business Development

roconnor@batesgroup.com

860-671-7270

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Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

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Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.