What are the fees for filing on IARD?
Fees are charged based on your firm’s assets under management. Fees must be credited to your firm’s Daily Account before you can submit your filing. No fee is charged for filing an electronic amendment to Form ADV unless it is an Annual Updating Amendment. No fee is charged for electronically filing Form ADV-W. Assets Under ManagementInitial Registration FeeAnnual Updating Amendment Fee More than $100 million$200$200 $25 million to $100 million$150$150 Less than $25 million$40$40 The Commission has approved initial registration and annual IARD filing fees for investment advisers registered with the Commission or applying for registration with the Commission (see Release No. IA 2959 http://www.sec.gov/rules/other/2009/ia-2959.pdf). SEC-registered investment advisers will have to pay the fee associated with their Annual Updating Amendments filed from January 1, 2010 through December 31, 2010. For the same period, investment advisers filing with the Commission for initial registration on
Fees are charged based on your firm’s assets under management. Fees must be credited to your firm’s Daily Account before you can submit your filing. No fee is charged for filing an electronic amendment to Form ADV unless it is an Annual Updating Amendment. No fee is charged for electronically filing Form ADV-W. Assets Under ManagementInitial Registration FeeAnnual Updating Amendment Fee $100 million or more$225$225 $25 million to $100 million$150$150 Less than $25 million$40$40 The Commission has approved initial registration and annual IARD filing fees for investment advisers registered with the Commission or applying for registration with the Commission (see Release No. IA-3126). SEC-registered investment advisers will have to pay the fee associated with their Annual Updating Amendments filed on or after January 1, 2011. For the same period, investment advisers filing with the Commission for initial registration on the IARD will have to pay the initial registration fee. Investment ad
