Skip to Content

 Investment Adviser Registration Requirements

Investment Adviser Firms Domiciled in North Carolina

 

Initial Registration in North Carolina


  • File Form ADV Parts 1 and 2 electronically through the IARD system.
  • Ensure that at least one member listed on Form ADV Part 1 - Schedule A complies with the state’s examination requirements.
  • Pay filing fee of $300.00. Fees are paid through IARD system.
  • Submit any financial reporting required by North Carolina IA rules.
  • If using a bond, submit the original bond to the Securities Division as required. The state even provides their own surety bond form.
  • Submit any other information requested by the Securities Division of North Carolina.

Firms Not Domiciled in North Carolina

 

Initial Registration


  • File Form ADV Parts 1 and 2 electronically through the IARD system.
  • Ensure that at least one member listed on Form ADV Part 1 - Schedule A complies with the state’s examination requirements.
  • Pay filing fee of $300.00. Fees are paid through IARD system.
  • Submit any other information requested by the state’s Securities Division.

Are you SEC-registered and wanting to notice file?

 

For SEC Notice Filing


                      • File Form ADV Parts 1 and 2 electronically through the IARD system.
                      • Pay filing fee of $300.00. Fees are paid through IARD system.


Ready to Get Started? Set up an Introductory Call