NH Application Checklist -
State Advisers

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 WebIARD)

2. Articles of Incorporation - if a corporation

3. Certificate 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. FEE - $250 Advisory License and Application. Pay to the IARD.

9. FEE - $130 Agent License and Application. Pay to the CRD System

10. Form U-4. Submit through Web CRD.

11. Please remember to file through FINRA all investment advisor agents doing business in New Hampshire.

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