Transitioning Existing IA Firms
IA firms that are currently registered through paper filings must first "transitionĒ their firmís registration statuses onto IARD prior to filing an electronic Form ADV Amendment. By first submitting a Transition Filing:
- The firm establishes an electronic record of the firmís existing state registrations and/or Notice Filing statuses they maintain with the states.
- The states may validate the firmís existing statuses and enter the date the firm first became registered and/or Notice Filed.
- The firm avoids being charged duplicate state registration and/or Notice Filing fees it has already paid.
Helpful links regarding the transitioning of currently registered IA firms:
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