Calendar
Dates that matter
Filing and CE deadlines for advisors, each with the rule that sets the date and its official source, plus industry events from the organizers' own pages.
As of Oct 8, 2026, AdvisorIQ lists 6 upcoming compliance deadlines through Nov 15, 2027, the next being Form 13F, Q3 2026 holdings, due Nov 16, 2026, plus 18 industry events.
Compliance deadlines
Each date shows the rule that sets it and the official source we checked it against. Dates that fall on a weekend or holiday are moved only where the rule says so.
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Nov 16Mon, 2026
Form 13F, Q3 2026 holdings
Institutional investment managers that meet the $100 million threshold in Section 13(f) securities
How the date is set: Within 45 days after the end of each calendar quarter (Rule 13f-1). The 45th day after September 30 is Saturday, November 14, 2026; when the deadline falls on a weekend or holiday the filing is due the next business day, so Monday, November 16. The SEC's Form 13F FAQ lists this date.
Source: sec.gov, checked Oct 5, 2026. Due in 39 days.
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Feb 16Tue, 2027
Form 13F, Q4 2026 holdings (year-end report)
Institutional investment managers that meet the $100 million threshold in Section 13(f) securities
How the date is set: Within 45 days after the end of the calendar year (Rule 13f-1). The 45th day is Sunday, February 14, 2027, and Monday, February 15 is Washington's Birthday, a federal holiday, so the filing is due Tuesday, February 16. The SEC's Form 13F FAQ lists this date.
Source: sec.gov, checked Oct 5, 2026. Due in 131 days.
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May 17Mon, 2027
Form 13F, Q1 2027 holdings
Institutional investment managers that meet the $100 million threshold in Section 13(f) securities
How the date is set: Within 45 days after the end of each calendar quarter (Rule 13f-1). The 45th day after March 31 is Saturday, May 15, 2027, so the filing is due the next business day, Monday, May 17. The SEC's Form 13F FAQ lists this date.
Source: sec.gov, checked Oct 5, 2026. Due in 221 days.
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Aug 16Mon, 2027
Form 13F, Q2 2027 holdings
Institutional investment managers that meet the $100 million threshold in Section 13(f) securities
How the date is set: Within 45 days after the end of each calendar quarter (Rule 13f-1). The 45th day after June 30 is Saturday, August 14, 2027, so the filing is due the next business day, Monday, August 16. The SEC's Form 13F FAQ lists this date.
Source: sec.gov, checked Oct 5, 2026. Due in 312 days.
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Aug 31Tue, 2027
Form N-PX, say-on-pay votes (July 2026 to June 2027)
Institutional investment managers that file Form 13F
How the date is set: Annually, not later than August 31, for the 12 months ended June 30 (Rule 14Ad-1). No report is due for the period ending June 30 of the year a manager's first Form 13F is due. August 31, 2027 is a Tuesday.
Source: ecfr.gov, checked Oct 5, 2026. Due in 327 days.
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Nov 15Mon, 2027
Form 13F, Q3 2027 holdings
Institutional investment managers that meet the $100 million threshold in Section 13(f) securities
How the date is set: Within 45 days after the end of each calendar quarter (Rule 13f-1). The 45th day after September 30 is Sunday, November 14, 2027, so the filing is due the next business day, Monday, November 15. The SEC's Form 13F FAQ lists this date.
Source: sec.gov, checked Oct 5, 2026. Due in 403 days.
Industry events
Open industry conferences, each confirmed on the organizer's own page, plus two invitation-only events marked on their entries: Global Trend Events' wealth forums and Schwab IMPACT. AdvisorIQ is not affiliated with these events.
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Oct 14 to 17Wed, 2026
NAPFA Fall 2026 National Conference
Atlanta, GA · NAPFA
CE, as the organizer states it: NAPFA says attendees earn CE through its sessions; the preconference workshop lists 8 NAPFA CEs. No total stated.
Dates from the organizer: napfa.org, checked Oct 5, 2026.
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Oct 25 to 28Sun, 2026
2026 NSCP National Conference
Orlando, FL · National Society of Compliance Professionals
CE, as the organizer states it: Up to 8.7 Florida CLE credits and up to 8.4 CPE credits. For other designations, attendees apply to their own designation body.
Dates from the organizer: nscp.org, checked Oct 5, 2026.
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Oct 27 to 29Tue, 2026
Schwab IMPACT 2026
Boston, MA · Charles Schwab
Who can attend, as the organizer states it: Invitation only, according to Schwab's IMPACT FAQ.
CE, as the organizer states it: Schwab says attendees can expect 7 to 10 hours of CE credit (CFP, CIMA, CPWA, RMA, and CPE for CPAs).
Dates from the organizer: impact.schwab.com, checked Oct 5, 2026.
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Nov 9 to 11Mon, 2026
FPA SUMMIT 2026
National Harbor, MD · Financial Planning Association
CE, as the organizer states it: A minimum of 10 hours of CFP CE credit with advance and regular registration; early bird registration lists an estimated 8 to 10 hours.
Dates from the organizer: summit.financialplanningassociation.org, checked Oct 5, 2026.
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Nov 16 to 17Mon, 2026
Experience 2026, Scottsdale
Scottsdale, AZ · Investments & Wealth Institute
CE, as the organizer states it: Up to 20 CE, including up to 3 ethics CE and at least 1 tax and regulations CE. IWI says about 80% of sessions are approved for CFP CE.
Dates from the organizer: experience.investmentsandwealth.org, checked Oct 5, 2026.
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Dec 6 to 9Sun, 2026
GTE Wealth Forum XXVIII
New Orleans, LA · Global Trend Events
Who can attend, as the organizer states it: Invitation only. Advisors qualify through a questionnaire; GTE says its most recent forum set a $250 million AUM minimum for RIAs, bank trusts and family offices, and requirements differ by forum. Advisors attend free.
CE, as the organizer states it: GTE says its forum presentations offer CE credit for CFP and IWI holders. No hours stated for this forum.
Dates from the organizer: globaltrendevents.com, checked Oct 5, 2026.
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Jan 25 to 27Mon, 2027
2027 AICPA Personal Financial Planning Symposium
Nashville, TN · AICPA & CIMA
CE, as the organizer states it: 17.5 CPE credits for onsite attendance.
Dates from the organizer: aicpa-cima.com, checked Oct 5, 2026.
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Feb 22 to 24Mon, 2027
Orion Ascent 2027
Orlando, FL · Orion
CE, as the organizer states it: CE-eligible sessions for CFP, CIMA, CPWA and RMA. No hour total stated.
Dates from the organizer: orion.com, checked Oct 5, 2026.
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Mar 14 to 17Sun, 2027
2027 SIFMA C&L Annual Seminar
San Diego, CA · SIFMA
CE, as the organizer states it: Breakout sessions are CLE-eligible in multiple states.
Dates from the organizer: events.sifma.org, checked Oct 5, 2026.
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Mar 14 to 17Sun, 2027
Future Proof Citywide 2027
Miami Beach, FL · Future Proof
Dates from the organizer: futureproofhq.com, checked Oct 5, 2026.
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Mar 22 to 25Mon, 2027
T3 Technology Conference 2027
Las Vegas, NV · T3 Technology Tools for Today
Dates from the organizer: t3conferences.com, checked Oct 5, 2026.
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Apr 4 to 7Sun, 2027
GTE Wealth Forum XXIX
Las Vegas, NV · Global Trend Events
Who can attend, as the organizer states it: Invitation only. Advisors qualify through a questionnaire; GTE says its most recent forum set a $250 million AUM minimum for RIAs, bank trusts and family offices, and requirements differ by forum. Advisors attend free.
CE, as the organizer states it: GTE says its forum presentations offer CE credit for CFP and IWI holders. No hours stated for this forum.
Dates from the organizer: globaltrendevents.com, checked Oct 5, 2026.
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May 5 to 8Wed, 2027
NAPFA 2027 Spring National Conference
San Diego, CA · NAPFA
Dates from the organizer: napfa.org, checked Oct 5, 2026.
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May 11 to 13Tue, 2027
2027 FINRA Annual Conference
Washington, DC · FINRA
CE, as the organizer states it: FINRA says sessions may qualify for CFP and CRCP continuing education credits.
Dates from the organizer: finra.org, checked Oct 5, 2026.
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Jun 8 to 10Tue, 2027
Wealth Management EDGE 2027
Boca Raton, FL · Informa Connect (WealthManagement.com)
Dates from the organizer: informaconnect.com, checked Oct 5, 2026.
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Aug 24 to 26Tue, 2027
FPA Gather 2027
Portland, OR · Financial Planning Association
CE, as the organizer states it: A minimum of 2 hours of CFP CE credit.
Dates from the organizer: gather.financialplanningassociation.org, checked Oct 5, 2026.
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Sep 21 to 23Tue, 2027
XYPN LIVE 2027
Seattle, WA · XY Planning Network
CE, as the organizer states it: XYPN says attendees can earn CFP CE credits. No hour total stated.
Dates from the organizer: live.xyplanningnetwork.com, checked Oct 5, 2026.
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Dec 5 to 8Sun, 2027
GTE Wealth Forum XXX
Nashville, TN · Global Trend Events
Who can attend, as the organizer states it: Invitation only. Advisors qualify through a questionnaire; GTE says its most recent forum set a $250 million AUM minimum for RIAs, bank trusts and family offices, and requirements differ by forum. Advisors attend free.
CE, as the organizer states it: GTE says its forum presentations offer CE credit for CFP and IWI holders. No hours stated for this forum.
Dates from the organizer: globaltrendevents.com, checked Oct 5, 2026.
Deadlines are summaries of each rule; the regulator's text governs, and your own fiscal year or registrations may change a date. See also: IAR CE requirements by state · CE requirements, with sources · CE calculator · Research and analysis. Today is Oct 8, 2026, Eastern.