Does maintaining a place of business in the state trigger a notice filing (regardless of number of clients)?
ALASKA STAT. § 45.55.030(e)(2016)
ALASKA STAT § 45.55.040(h)(2016)
What is the maximum number of clients adviser can have in the state without triggering a notice filing?
ALASKA STAT. §45.55.030(e)(2016)
What sorts of clients are not counted for purposes of determining whether to notice file?
Investment companies as defined in 15 U.S.C. 80a-3 (Investment Company Act of 1940), other state investment advisers, federal covered advisers, broker-dealers, banks, trust companies, savings and loan associations, insurance companies, employee benefit plans with assets of not less than $1,000,000, governmental agencies or instrumentalities whether acting for themselves or as trustees with investment control, or other institutional investors that are designated by regulation or order of the administrator.
ALASKA STAT. § 45.55.030(e) and (c)(2016)
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