N.H. Notice Filing Checklist - Federal
Should be submitted through Web IARD:
(Part I & II)
, Submit Part I through
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.
$250 Notice Filing FEE for the Firm. Pay to the IARD.
For any Investment Adviser Representatives who are
working from a New Hampshire location:
Complete, up-to-date Form U-4, submitted to the CRD
$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.