California State Registered Investment Adviser Annual Financial Report Letter

California State Registered Investment Advisers subject to the minimum financial requirements as found under CCR § 260.237.2, must file with the Commissioner, not more than 90 days after their fiscal year-end, an annual financial report that reflects their financial condition. The Report must include a balance sheet and income statement prepared in accordance with GAAP.  This customizable Letter serves as a useful guide for investment advisers to complete and include the required supporting documents for submitting to CA DFPI.

Version/Update: V.2-06042023

Total Page Count/Format: 1/.docx

Source/Author(s): Connexien