Investment Adviser Notice Filing Laws by State

Overview

Investment advisers who register with the Securities and Exchange Commission ("SEC") under the Investment Advisers Act of 1940, as amended ("Advisers Act") are also required to comply with applicable notice filing laws in the states in which they have advisory clients. These web pages describe the notice filing laws of each state (and the District of Columbia) with respect to investment advisers registered with the SEC.

To view the requirements for a specific state, click on the state name below.



The material provided on these pages is for informational purposes and serves only as an aid in understanding each state’s notice filing requirements. The information provided should not be construed as legal advice, and the viewing of these pages does not establish an attorney-client relationship. The final determination of whether a firm must, in fact, notice file in any particular state is highly specific and can depend on other factors. As a result, an attorney should be consulted before a firm decides whether or not to make a notice filing.