Important Information Regarding a Firm's First IARD Filing

Note to SEC-Registered Advisers:

Before you submit your first Form ADV to the SEC through the IARD system, you must indicate the states to which your firm currently provides Notice Filings. This will ensure that IARD does not charge you for Notice Filing fees you have already paid. To do this, click on "Submit Transition Notice Filings" under the "Transition" heading to take you to the State Notice Transition page, or access the page through the "Non-filing information" (NFI) on the main menu.


Note to State-Registered Advisers:

Before you submit your first Form ADV to a state securities regulator through the IARD system, you must indicate the states in which your firm is currently registered. This will ensure that IARD does not charge you for state registration fees you have already paid. To do this, click on "Submit Transition Registrations" under the "Transition" heading to take you to the State Registration Transition page, or access the page through the "Non-filing information" (NFI) on the main menu.


What Filing Type Do You Choose?

Apply for initial registration with the SEC if:

  1. You are not registered with the SEC and are filing your first application to do so.

Apply for initial registration in one or more states if:

  1. You are not registered with any state and are filing your first application(s) to do so.

Submit an Annual Amendment if:

  1. You are an existing SEC or state registrant, have already filed your electronic Form ADV, and are now filing your Annual Amendment.

Submit an Other-Than Annual Amendment if:

  1. You are a state registrant and are making your first electronic Form ADV filing;
  2. You are registered with the SEC, or states, and are amending your existing electronic Form ADV, and your filing is not an Annual Amendment;
  3. You are SEC registered and wish to make a Notice Filing with a new state;
  4. You are state registered and wish to seek registration in an additional state; or
  5. You have an application pending with the SEC or states to become registered and are amending a previously filed Form ADV.

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