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    Free Download · 2026 Edition

    The Form ADV Amendment Checklist

    60 items across 10 sections — the checklist RIAs use to nail their annual ADV amendment without surprises from examiners or state regulators.

    • 90-day deadline math + state notice-filing timing
    • Part 2A material-change test, with worked examples
    • Form CRS update and delivery rules for retail RIAs
    • Every item flagged by recent SEC exam priorities

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    What's inside

    10 sections, 60 line items, drawn from recent SEC and state ADV deficiency letters.

    1

    Annual amendment deadline math (90 days after FY end)

    2

    Part 1A item-by-item review triggers

    3

    Part 2A brochure material-change test

    4

    Part 2B supplement update triggers

    5

    Form CRS annual delivery + update rules

    6

    State notice-filing renewal grid

    7

    Custody, wrap-fee, and SMA item nuances

    8

    Disciplinary disclosure prompt questions

    9

    Common examiner findings by ADV section

    10

    Filing sequence, IARD fees, and delivery timing

    Built by working CCOs

    Compiled from real ADV amendment engagements across SEC and state RIAs.

    2026-current

    Reflects the latest Marketing Rule, Form CRS, and outsourcing rule guidance.

    Examiner-tested

    Mirrors the ADV deficiency themes flagged in recent SEC and state exam sweeps.