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Investment advisers registered with the Commission or applying for registration with the Commission will still be subject to applicable state Notice Filing fees associated with any amendment or initial registration filing.
Q: What are the fees for filing reports as an Exempt Reporting Adviser on IARD?
You will pay the state filing fee through IARD which passes your payment to the state securities authority where your filing is made.
Be sure you have sufficient funds in your IARD Flex-Funding Account to pay the state filing fee before you try to submit your Form ADV amendment.
However, you will pay your state Notice Filing fees through IARD when filing electronically. A: If you want a state to receive Notice Filings, check the box next to the appropriate state under Item 2C of Part 1A of Form ADV.
A common approach many state securities regulators have adopted is to require an investment advisor firm with custody of client funds and/or securities to maintain a net worth in the amount of ,000; an investment advisor firm maintaining discretionary authority, but not custody, over client funds and/or securities must maintain a net worth in the amount of ,000; and an investment advisor firm not meeting the net worth requirement often must then attain a surety bond in the amount of the net worth deficiency rounded plus ,000.A: Fees are charged based on your firm's regulatory assets under management.Fees must be credited to your firm's IARD Flex-Funding Account before you can submit your filing.Q: Why are we being charged filing fees for using IARD?A: Filing fees are charged to cover the costs and maintenance of IARD.