Investment Advisers

Notice Filing

Federally Covered Investment Advisers subject to SEC Registration doing business in the state of Wyoming are required to notice file which includes the following filed electronically through IARD System:

  1. Submit a completed Form ADV Part 1.

  2. Submit a $250 filing fee per Investment Adviser.

Representatives of Federally Covered Investment Advisers with a place of business in Wyoming are required to register with the Secretary of State's Office. Applicants must submit the following electronically through Web CRD:

  1. A current and complete Form U-4.

  2. Submit a $45 filing fee per represenative