While embarking on your journey as a registered investment adviser (RIA) is exciting, it also comes with a variety of new tasks, deadlines, fees, and paperwork.
But those forms aren’t without a purpose: The Securities and Exchange Commission (“SEC”) uses form filings to keep track of each RIA’s registration status, from single-adviser boutique firms to large liquidity fund advisers (and everything in between).
Related: ADV Updates: Is Your Firm Meeting its Ongoing Obligation to Update Regulatory Filings?
If your firm has successfully registered but is now planning for filing updates, it’s important that you know which deadlines are rounding the corner in 2024. Read on to explore some of the most important SEC filing requirements for the coming year.
2024 SEC Filing Deadlines Every RIA Should Know
For those of you navigating your first year of post-registration compliance, staying on top of filing deadlines is crucial to avoiding fines, penalties, and even reputational damage. To help you stay on track, we recommend you use this quick guide on key SEC deadlines for 2024.
NOTE: This calendar is based on a fiscal year that lines up with the calendar year. If your fiscal calendar starts on a day other than January 1, refer to the SEC’s official 2024 Filing Deadline Calendar.
While some deadlines have passed, it is important to remember these critical dates for regulatory filing requirements beyond 2024.
| Filing Requirement | Date | Details | Relevant Links |
| Form PF for Large Liquidity Fund Advisers | January 15, 2024 and within 15 days of the end of each quarter | Large liquidity fund advisers must submit quarterly updates within 15 days of the end of each quarter. | Learn More |
| Final Statement payment for all firms with balance due | January 26, 2024 | We recommend that you submit all final electronic renewal payments by January 24 to ensure proper processing time. | Learn More |
| Form 13F | February 14, 2024 and within 45 days of the end of each calendar quarter | Form 13F filings apply to firms that meet or surpass the applicable $100 million threshold in Section 13(f) securities at any point in the year. | Learn More |
| Form ADV Annual Updating Amendment | March 30, 2024 | Parts 1 and 2 of your firm’s Form ADV, or the “Uniform Application for Investment Adviser Registration,” must be submitted through the IARD system. | Learn More |
| Form ADV Part 3 (Form CRS) Amendments | 30 days from any material changes | While an annual update of your Form CRS is not required, any relevant changes must be updated within 30 days. | Learn More |
| Annual Form PF for Private Fund Advisers | April 29, 2024 | Annual updates to the Form PF are due within 120 days of the end of your firm’s fiscal year end. Additional quarterly Form PF reports are due in circumstances where certain events are met. | Learn More |
| Form PF for Large Hedge Fund Advisers | February 29, 2024 and within 60 days of the end of each quarter | Large hedge fund advisers are required to submit quarterly reports within 60 days of the end of each quarter. | Learn More |
| Form D Amendments (Notice of Exempt Offering of Securities) | Within a year of previous filings | Note that there are several exemptions to the Form D filing requirements. | Learn More |
| State Renewal Filings (primarily for state-registered RIAs) | Varies depending on state | Your specific registration and filing requirements will vary depending on which state(s) your firm is registered within. | Learn More |
*This table is meant for reference purposes only and is not comprehensive of all filing requirements. Your specific filing requirements and deadlines may vary depending on various factors.
Staying on top of regulatory deadlines is an essential part of being a responsible RIA. By prioritizing compliance and using resources like this guide, you can navigate the regulatory landscape with confidence and focus on what matters most – serving your clients.
Manage Your RIA Registration with Ease
COMPLY provides comprehensive registrations tools, resources, and services – including regulatory filings services designed to ease the burden of a calendar year filled with filing requirements. Our team of experts has helped thousands of firms to file:
- Form ADV Part 1 (including Annual Updating Amendment)
- Form ADV Part 2A (Firm Brochure or Wrap Fee Brochure)
- Form ADV Part 2B (for Investment Adviser Representatives)
- Form ADV Part 3 (Form CRS)
- Form U4
- Form U5
- Form PF
- Form 13F
- Form 13H
- Form ADV-W
- Form BD
- Form D and Blue Sky Filings
Interested in learning more? Click here to learn more.