To Our Investment Adviser Clients and Other Friends:
This is our annual letter briefly reviewing various issues that our investment adviser clients should consider over the next few weeks.
Federally Registered Investment Advisers
1. Annual Updating Amendment to Form ADV. If your firm is an SECregistered adviser, it must amend its Form ADV each year on the IARD within 90 days after the end of its fiscal year. For an adviser whose fiscal year ended December 31, 2014, the deadline is March 31, 2015. This annual amendment must update your firm’s responses to all items of Parts 1 and 2 of Form ADV. More…