What Is Included in an Adviser’s Application for Registration?

By: Daniel A. Perry

Fortunately, an application for registration is done entirely online which makes registration easier. However, there are still several requirements that you need to complete. The registration is completed online through the Investment Adviser Registration Depository (IARD). Once you have obtained your login for the IARD, you can proceed with registration.

Your application for registration will include the following:

  1. Form ADV-Part 1 and ADV-Part 2
  2. Form U4 (remember, a separate Form U4 is required for each investment adviser representative that will be providing services on behalf of the investment adviser).
  3. Qualified Professional Designations or a Passing Score on a Specific Competency Exam (may include Series 7, 63, 66, or 65)
  4. Payment of Fees

In addition to these standard registration requirements, each state may also require other state specific forms to accompany your registration. It is important to speak with an attorney if you have any questions regarding compliance issues and state specific registration requirements.

For more information:

As you can see, the rules and compliance requirements are complex and often overlap. If you have legal questions regarding your investment adviser business or you are interested in retaining our office as your General Compliance Counsel, please contact our office at (513) 241-0400 or visit our website. We look forward to hearing from you!