Transitioning Existing IA Firms

IA firms that are currently registered through paper filings must first "transition” their firm’s 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 firm’s existing state registrations and/or Notice Filing statuses they maintain with the states.
• The states may validate the firm’s 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:

• NASAA's Notice Filing and Transition Explanation
• What Follows Once You Have An IARD Account
• IA Firm User’s Manual - Chapter 4: Transitioning Investment Adviser Firms and Organization Non-Filing Information

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