State IA Financial
Information Filing Requirement
No fee is required.
State IA's that have their principal place of business in a state other than New
Hampshire must be in compliance with their home state financial requirement.
State IA's with their principal place of business in New Hampshire must submit:
Within 90 days from the investment adviser's fiscal year end, the investment
adviser must submit, directly to the Bureau, an audited balance sheet if the investment adviser is
required by Form ADV
have one prepared (if it has custody of client funds or securities or if it collects fees of $500 per
client 6 or more months in advance;
If a surprise examination of clients' funds and securities is required because
the investment adviser has custody of client funds and/or securities, a copy of the report of examination
must be promptly filed with the Bureau (RSA 421-B:4.IV(e)).