California State Registered Investment Adviser Interim Financial Report Letter

California State Registered Investment Advisers subject to the minimum financial requirements as found under CCR § 260.237.2, must file monthly reports with the Commissioner within 15 days after their net worth is reduced to less than 120% of their required minimum net worth. The Report should include a balance sheet, income statement, supporting schedule(s) and verification form.  This customizable Letter serves as a useful guide for investment advisers to complete and include the required supporting documents for submitting to CA DFPI.  Firms will need to file the interim report until they have filed three consecutive reports showing net worth greater than 120% of their required minimum net worth.

Version/Update: V.2-06042023

Total Page Count/Format: 1/.docx

Source/Author(s): Connexien