Florida-Registered RIAs: Submitting Annual Financial Statements to the OFR
Florida-registered RIAs: submitting annual financial statements to the OFR follows a defined process through the REAL system — but small oversights can still create delays.
Florida-registered RIAs: submitting annual financial statements to the OFR follows a defined process, but small oversights can still create delays.
Here's how the submission works through the REAL system:
1. Access the OFR REAL portal and create a user account if you don't already have one. 2. To create the account, you'll need your RIA license number and entity number. 3. Once logged in, locate your RIA's license record under Manage Your Information, on the right-hand side. 4. Select Annual Financial Statement and upload the required documents. 5. Save the Application Summary as proof of submission.
One critical reminder: financial statements must be submitted together with the signed and notarized Oath of Affirmation. Missing this step is a common issue during state reviews.
Clear documentation and confirmation matter, especially ahead of state exams.
ICS helps RIAs review filing processes and regulatory submissions to reduce avoidable deficiencies and delays.
ICS advises financial institutions navigating regulatory changes of this type. If your firm needs to assess the impact of this development on your compliance program, contact us to discuss.
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