Does maintaining a place of business in the state trigger a notice filing (regardless of number of clients)?
N.H. REV. STAT. ANN. § 421-B:4-405(b)(1)(A)-(D)( 2017)
What is the maximum number of clients adviser can have in the state without triggering a notice filing?
N.H. REV. STAT. ANN. § 421-B: 4-405(a)( 2017)
What sorts of clients are not counted for purposes of determining whether to notice file?
- federal covered investment advisers,
- investment advisers registered with New Hampshire,
- broker-dealers registered with New Hampshire,
- institutional investors,
- bona fide preexisting clients whose principal places of residence are not in New Hampshire, or
- other clients specified by order issued under New Hampshire law.
N.H. REV. STAT. ANN. § 421-B:4-405(b)
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.