As a reminder, the Form ADV Part 2B (brochure supplement) delivery date affecting registered advisers is fast approaching. Advisers registered with the SEC as of December 31, 2010, and having a fiscal year end between December 31, 2010, and April 30, 2011, must have the supplement ready for delivery to new and prospective clients by July 31, 2011. Advisers must also deliver the supplement to existing clients by September 30, 2011.
For advisers with a fiscal year end after April 30, 2011, compliance is based on filing the annual updating amendment. Once the amendment is filed, these advisers must provide a brochure supplement to new clients before or at the time they begin to provide advisory services. Delivery to existing clients is required within 60 days of filing.
Please contact Vista360 if you have any questions regarding the new compliance dates.