N.H. Notice Filing Checklist - Federal Advisors

  • cloudcapital

    Should be submitted through Web IARD: 

    1.  Complete Form ADV (Part I & II), Submit Part I through IARD. 

    2.  Part II and/or Part 2 of Form ADV do not have to be filed, but must be made available upon 5 days notice by the Bureau to the Investment Adviser. 

    3.  $250 Notice Filing FEE for the Firm.  Pay to the IARD. 

    4.  For any Investment Adviser Representatives who are working from a New Hampshire location: 

    • Complete, up-to-date Form U-4, submitted to the CRD system. 
    • $130 Registration FEE.  Pay to the Web CRD. 


    There is no deminimus exemption for Federal Advisers from the notice filing requirements.  Federal Advisers must file a notice in New Hampshire prior to conducting any investment adviser business in the state.