Unclaimed property · Finance & Insurance

Escheat filing guide for investment advisers and broker-dealers

Businesses in investment advisers and broker-dealers can use RegFile's filing checker to preserve holder-state, stale-ledger, owner-address, property-type, amount, dormancy-date, and due-diligence context before unclaimed-property review.

Start the filing checker Add deadline reminders

The checker organizes intake details before filing work moves through RegFile's reviewed, authorized workflow.

Property frame

Investment advisers and broker-dealers can accumulate stale account credits, fee refunds, distribution or dividend checks, failed ACH or wire returns, transfer-agent proceeds, and uncashed vendor or payroll payments.

Source records

customer-credit ledgers, fee-refund reports, distribution and dividend check registers, failed ACH and wire-return exports.

Holder context

A useful advisory or brokerage holder review keeps customer, account, custodian or clearing firm, security or product, payment rail, regulated entity, owner-address, last-contact, dormancy, due-diligence, and reporting-state context together before a NAUPA packet is staged.

Intake checklist

What to gather before stale balances become a review packet.

account-credit, fee-refund, distribution-check, and failed-transfer aging exports

customer, beneficiary, custodian, vendor, and employee owner-address evidence

adviser or broker-dealer entity, clearing relationship, account footprint, holder-state, and due-diligence notice status

How the checker uses it

One checker result keeps holder, owner, ledger, and deadline context together.

The checker asks for holder state, property count, approximate value, stale-ledger status, owner-address status, and due-diligence notice status. For investment advisers and broker-dealers, those inputs qualify follow-up without claiming that any balance is reportable.

If OSHA 300A, employer reporting, corporate-infra, or another recurring obligation is part of the same profile, RegFile keeps the checker and reminder flow tied to the reviewed, authorized filing workflow.

NAUPA holder reporting resources Delaware VDA program California holder reporting

Escheat filing guide for investment advisers and broker-dealers

Sample result for Investment advisers and broker-dealers

What to gather before stale balances become a review packet.

One checker result keeps holder, owner, ledger, and deadline context together.

Check escheat packet review for investment advisers and broker-dealers