Careers

Diversity, Equity & Inclusion

Experience

Innovation

Interactive Maps

Locations

About

Pages

Meet our team of innovators
Ask us how we do it

Professionals

Insights

Services

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.

Home | Thompson Hine LLP

Atlanta

Chicago

Cincinnati

Cleveland

Columbus

Dayton

Los Angeles

New York

Washington, D.C.

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

core/paragraph

Yes. R.I. GEN. LAWS §7-11-206(b)(2017) referring to 7 R.I. GEN. LAWS § 7-11-204(1)(ii)(2017).

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

5 R.I. GEN. LAWS § 7-11-204(1)(ii)(2017).

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

Its only clients in Rhode Island are other investment advisers, federal covered advisers, broker dealers, financial or institutional investors; and the investment adviser has no place of business in Rhode Island and the investment adviser directs business communications in Rhode Island to a person who is an existing client of the investment adviser and whose principal place of residence is not in Rhode Island. R.I. GEN LAWS § 7-11-204(1)(i).

core/list

core/separator

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.