New Hampshire Application Checklist - Transfer from Federal to State Advisers

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    Submit through Web IARD 

    (Items that cannot be submitted through Web IARD must continue to be submitted directly to the Bureau) 

    1. Form ADV Part 1 and Part 2 (submitted through Web IARD).
    2. Articles of Incorporation - if a corporation.
    3. Certification of Formation & Operating/Management Agreements - if an LLC.
    4. Certificate of Formation & Limited Partnership Agreement - if an LP.
    5. Certificate of Formation & Partnership Agreement - if an LLP.
    6. Balance Sheet - certified by the principal as true and accurate to the best belief and knowledge of the preparer (applies to N.H. based investment advisors only).
    7. Specimen copy of all investment advisory agreements.
    8. Firm amendment/transfer FEE is WAIVED - Advisory License and Application.
    9. Firm amendment/transfer FEE is WAIVED - Agent License and Application.
    10. Form U-4.  Submit through Web CRD.
    11. Please remember to file through FINRA all investment advisor agents doing business in New Hampshire.