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.