Application Checklist -
Submit through Web IARD.
(Items that cannot be submitted through Web IARD must
continue to be submitted directly to the Bureau)
Form ADV Part 1 and Part 2
Articles of Incorporation - if a corporation
Certificate of Formation & Operating/Management
Agreements - if an LLC
Certificate of Formation & Limited Partnership
Agreement - if an LP
Certificate of Formation & Partnership Agreement - if
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
Specimen copy of all investment advisory agreements.
$250 Advisory License and Application. Pay to the IARD.
$130 Agent License and Application. Pay to the CRD
U-4. Submit through Web CRD.
to file through FINRA all investment advisor agents doing
business in New Hampshire.
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