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Thompson Hine LLP, a full-service business law firm with approximately 400 lawyers in 8 offices, was ranked number 1 in the category “Most innovative North American law firms: New working models” by The Financial Times and was 1 of 7 firms shortlisted for The American Lawyer’s inaugural Legal Services Innovation Award. The firm has been recognized by the National Law Journal as a Legal Technology Trailblazer and featured by Bloomberg for its innovative service delivery models, which drive accuracy and predictability. The firm’s commitment to innovation is embodied in Thompson Hine SmartPaTHTM – a smarter way to work – predictable, efficient and aligned with client goals. For more information, please visit ThompsonHine.com and ThompsonHine.com/SmartPaTH.

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Does maintaining a place of business in the state trigger a notice filing (regardless of number of clients)?

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Yes. Notice filing required if adviser maintains a place of business in Colorado or engages an investment adviser representative with a place of business in Colorado.<br>COLO. REV. STAT. § 11-51-401(1.6) (2016)

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What is the maximum number of clients adviser can have in the state without triggering a notice filing?

0<br>COLO. REV. STAT. § 11-51-401(1.6) (2016)

What sorts of clients are not counted for purposes of determining whether to notice file?

Colorado does not have an exclusion for institutional clients.&nbsp;

COLO. REV. STAT. § 11-51-401(1.6) (2016)

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<em>Viewing of these pages does not establish an attorney-client relationship. The information above is informational purposes only and should not be construed as legal advice. A lawyer should be consulted to confirm both applicability and any other issues that might affect or apply to your situation.</em>