 This is going to put a pretty big burden on firms. For midsized firms, they need to revisit their technology infrastructure. For bigger firms, this is a significant investment."GJ King, president, RIA in a Box.
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SEC's new Form ADV demands will trip up unprepared RIAs
Ann Marsh | Financial Planning, October 2017
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Summary: On Oct. 1 the SEC stopped accepting any amendments in most instances until firms complete the much more onerous job of filling out its new Form ADV, which includes up to hundreds of new disclosures depending on the size of the firm, says GJ King, president of compliance and software consulting firm RIA in a Box.
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